Manager-Process and Compliance-Digital Banking Kotak 811-Regional Sales

This is an Internal document.

Role Title Manager-Process and Compliance

Function Digital Banking Kotak811 – Regional Sales

Job Location BKC- Mumbai

Job Role

1.Ensure compliance with SEBI & IRDAI regulations, circulars, guidelines and codes of conduct

1. Monitor and interpret new regulatory developments and assess their impact on the organization
2. Draft, review and implement compliance policies, procedures and internal controls in line with SEBI & IRDA requirements

• 4.Handle correspondence and inspection queries (if any) from SEBI & IRDA
• 5.Conduct internal compliance audit and reviews to ensure adherence to applicable regulations

1. Provide compliance advisory support to business teams on regulatory implications of new products, marketing materials and customer communications
2. Support senior management in implementing risk management and governance frameworks

Requirement/Qualifications

1. Graduate/Post graduate
2. 5-10years’ experience in compliance or regulatory affairs in Bank/Mutual Fund/Insurance sector/Brokers etc.
3. Experience in handling regulatory inspections, audits and submissions
4. High integrity, attention to detail and ability to work independently under minimal supervision.