Job Description

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Job Role

• Visiting Kotak Securities Branches and Authorized Persons offices in a region.
• Handling and supervision of internal investigations of all reported and suspected fraud incidences, misconduct, policy/procedure breaches and timely issuance of reports for management use either for internal or external actions in addressing root courses, control enhancements and for likely litigation actions.
• Develop new audit programs to ensure adequate Internal controls.
• Plan internal client's meetings and follow-up to oversee audit observation closures.
• Make recommendations about policies, red flag indicators and audit triggers.
• Investigate and assess alerts for potential risks.
• Ensure timely, efficient reporting of suspicious transactions to Compliance Officer and Management.
• Maintain a current understanding of transaction risk, including policies, procedures, regulations, and developing trends.
• Assist in identifying systemic procedural weaknesses and additional training/certification requirements
• Timely execution of instructions received from department head and other regulators
• Prepare periodic reports to Department head/Management.
• Voice recording review.

• Graduate /Post Graduate with at least 4 - 5 years' experience of working in a stock broking firm in operations and or risk management
• Strong interpersonal and communication skills including the ability to interact with clients, management and law enforcement agencies.
• Task & detail oriented
• Willingness to travel on job (extensive travelling).
• Proficiency in Excel and presentations
• Good Communication skills (spoken & written) & People skills
• Well organized for preparing various MIS, follow up and excellent analytical mind.
• Display good interviewing skills along with the capability of drafting reports
• Having good knowledge about computer language (Phyton etc.) is desirable.