Job Description

Team Member	Compliance
Job ID
Department	Compliance, Kotak Mahindra Prime Limited
Location	Mumbai
Number of Positions	1
Reporting Relationships	Chief Compliance Officer
Position Grade	Manager

Job Role:

The role involves following key activities at team leader level:

• Perform independent compliance testing of various products of the Company on a sample basis and report findings/ensure closure of the same.
• Testing areas include:
• Assist in preparation of compliance testing plan
• Testing of various Circulars and Directions issued by RBI from time to time
• Thematic reviews of customer grievances, ECL model, capital adequacy calculation, Regulatory returns, Asset Liability Management, etc.
• Review of reporting to Credit Information Companies
• Product testing of various loan products for compliance with KYC/AML, FPC, etc.
• Offsite monitoring of key parameters
• Branch visits
• Assist in preparing data pack for various meetings such as Senior Management Committee, Audit Committee of Board etc and draft/review minutes of aforementioned meetings.
• Ensure updation of new circulars in Compliance monitoring tool
• Tracking of compliance in compliance monitoring tool and circulate dashboards
• Assist in RBI inspection of the Company and internal audit of Compliance function.
• Develop and conduct compliance training sessions to help drive Compliance culture in the company

Job Requirements:

• Professional with a post graduate degree in Law/Commerce/Management/qualified Company Secretary/CA with at least 2 years of experience is preferred. Fresher CA/CS can also apply.
• Candidates with Audit experience in Bank/NBFC would be an added advantage.
• Should have good verbal and written communication skills with an eye for detail.
• Should be conversant with Word, Excel and PowerPoint.

Application:

If you wish to apply for this job position, please fill your details in the Kotak Fast Track Application Form and mail to __________.

Please mention the following in the subject line as ‘”Position Name” – “Your Name” – “Your Current Business group”

Opportunity brought to you by Fast Track. This is an Internal document.