Job Description

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 iss

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. Requirements 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.