Details of the Organization

At Kotak Securities, they foster talent and nurture an environment that values, supports, and inspires every individual. Recognized as a Great Place to Work®, they are committed to transparency, ethical conduct, and a strong work ethic within a stable and well-established financial services landscape.

Details of the Job/Internship

Kotak Securities is hiring a AVP – Legal, Compliance, Surveillance and Control  to join their office in Mumbai. 

Role and Responsibilities

1. Regulatory Compliance

• Monitor and ensure adherence to SEBI regulations, exchange circulars, and internal policies.
• Oversee implementation and ongoing compliance with KYC and PMLA requirements for institutional clients.

2. Client Onboarding & KYC/AML Monitoring

• Supervise the onboarding of institutional clients in accordance with SEBI and PMLA guidelines.
• Ensure ongoing monitoring of client transactions and timely submission of Suspicious Transaction Reports (STRs) and related regulatory filings.

3. Trading Surveillance

• Manage the surveillance function for the Institutional Equities desk.
• Respond to exchange-generated surveillance alerts and investigate internal alerts to ensure timely resolution and documentation.

4. Legal & Documentation

• Review and advise on legal agreements related to client empanelment, vendor contracts, and exchange undertakings.

5. Audit & Control Functions

• Act as the Single Point of Contact (SPOC) for all audits related to the Institutional Equities division from a compliance perspective.
• Ensure readiness and accurate data submission for internal and external audits.

6. Regulatory Interface

• Liaise with SEBI, NSE, BSE, and other regulatory authorities for compliance submissions, inspections, and issue resolutions.

7. Research Compliance

• Review and approve research reports to ensure compliance with SEBI Research Analyst regulations.
• Support annual audits for the Research vertical.

8. Employee Compliance & Training

• Conduct training sessions for employees on SEBI regulations, the company’s Code of Conduct, and policies on Insider Trading and Fraudulent & Unfair Trade Practices (FUTP).
• Oversee employee trading compliance, policy implementation, and monitoring mechanisms.

9. Strategic Compliance Projects

• Assist in the legal and compliance setup for new business initiatives, such as GIFT City operations or obtaining licenses in new jurisdictions.

10. Policy Development

• Draft, update, and maintain compliance policies, SOPs, and risk manuals aligned with SEBI and exchange requirements.

Eligibility

• Graduate/Postgraduate in Law, Finance, or related field (LLB/LLM/CFA preferred).
• Minimum [X] years of relevant experience in compliance, preferably in institutional stock broking or capital markets.
• Strong understanding of SEBI, NSE, BSE regulations and exchange compliance frameworks.
• Excellent communication, analytical, and stakeholder management skills.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

Address

Mumbai, Maharashtra, India.

Application and Registration Details

After you submit your application, you will receive the next steps in the process via email. Please follow the instructions provided to complete your application.

Incase you find any issue with the application process, please contact: [email protected] 

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