Team Lead - Quality

Kotak Securities (KSL); Goregaon; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

Kotak Securities (KSL) is seeking a senior Quality Auditor to lead a team of auditors, oversee VRM/Dealer call audits, and ensure targets, accuracy, and TAT are consistently met.

The role emphasizes adherence to SEBI guidelines, identifying gaps, and driving improvements in processes, client experience, and business outcomes through strong analytical and stakeholder-management skills.

Qualifications

• Experience in Quality/BFSI/Broking/Capital Markets with team-handling exposure.

Responsibilities

• Manage and guide a team of Quality Auditors, ensuring audit targets, accuracy and TAT are consistently met.
• Oversee audits of VRM/Dealer calls and other client interactions covering business acquisition, investments, account opening, trading and service-related activities.
• Ensure adherence to SEBI/regulatory guidelines, internal policies, processes and sales-conduct standards.
• Identify and elevate critical compliance, misselling, process and customer-impacting gaps.
• Conduct regular calibration and quality checks to ensure consistency and accuracy of audits.
• Analyse audit trends and provide actionable inputs for business improvement, including opportunities to improve conversion, client engagement, process efficiency, and customer experience.
• Identify recurring gaps and work with Business, Training, Compliance and Operations teams on corrective actions.
• Prepare and present quality MIS, key trends, risk areas and business improvement recommendations to stakeholders.
• Drive continuous improvement in quality, compliance, customer experience and business outcomes.

Skills

Quality audits

Stakeholder management

People management

Analytical thinking

Communication

Tools

MS Excel

PowerPoint

Job description

Role & responsibilities

• Manage and guide a team of Quality Auditors, ensuring audit targets, accuracy and TAT are consistently met.
• Oversee audits of VRM/Dealer calls and other client interactions covering business acquisition, investments, account opening, trading and service-related activities.
• Ensure adherence to SEBI/regulatory guidelines, internal policies, processes and sales-conduct standards.
• Identify and elevate critical compliance, misselling, process and customer-impacting gaps.
• Conduct regular calibration and quality checks to ensure consistency and accuracy of audits.
• Analyse audit trends and provide actionable inputs for business improvement, including opportunities to improve conversion, client engagement, process efficiency, and customer experience.
• Identify recurring gaps and work with Business, Training, Compliance and Operations teams on corrective actions.
• Prepare and present quality MIS, key trends, risk areas and business improvement recommendations to stakeholders.
• Drive continuous improvement in quality, compliance, customer experience and business outcomes.

Preferred candidate profile

• Good knowledge of MS Excel and PowerPoint.
• 5-8 years of experience in Quality/BFSI/Broking/Capital Markets, with 23 years in a team-handling role.
• Experience in auditing VRMs, Dealers, Relationship Managers or sales teams will be preferred.
• Strong knowledge of broking, investments and capital-market processes.
• Understanding of sales quality, compliance and customer experience.
• Strong analytical, communication and stakeholder-management skills.
• People management and coaching capabilities.
• Ability to convert audit observations into business improvement recommendations.