Investor Grievance and Compliance Manager

3 days ago

Mumbai, India Nuvama Group Full time

Key Responsibilities:


Handling Regulatory Investor Grievances

  1. Downloading complaints and forwarding to CXO team for resolution
  2. Maintaining database for various grievance matters and cases.
  3. Coordinating with CXO team/stakeholders & regulators

Filing ATR within 21 days to Regulators

  1. Collating details of direct complaints and reporting to exchanges by 7th of every month.
  2. Uploading of Investor complaints/charter on the NWIL website by 7th of every month
  3. Submission of BO grievance reports for direct & regulatory complaints by 10th of every month.
  4. Attending conciliation proceedings on Smart ODR
  5. Coordination for clearing of Smart ODR fees
  6. Coordinating with legal team for arbitration matters
  7. Providing the complaints details to various stakeholders as and when required
  8. Implementation of grievance related circulars


Compliance Audits & Inspections:


  1. Assist in preparing for and facilitating internal and external audits and regulatory inspections (SEBI, NSE, BSE, MCX, NCDEX).
  2. Monitoring and conducting of Branch/AP Inspections as per the regulatory requirements
  3. Address audit findings and ensure any compliance gaps identified are resolved in a timely manner.
  4. Implement corrective actions and ensure continuous improvement in compliance procedures based on audit recommendations.
  5. Conduct compliance test checks for various compliance areas, identify gaps and take steps for redressal.


Coordination with Regulators:


  1. Liaise with SEBI, exchanges (NSE/BSE), and other regulatory bodies for routine and ad hoc compliance requirements.
  2. Respond to regulatory queries, notices, and investigations, ensuring prompt and accurate communication.


Qualifications and Skills Required:

  • Education: Bachelor’s degree in law, Finance, Business Administration, or related fields.
  • Experience: 6-8 years of experience in compliance, preferably within the broking or financial services industry handling Investor Grievance resolution.
  • Regulatory Knowledge: Good knowledge and experience on regulations governing SEBI/Exchange compliances in relation to Broking and Depository Participant, Investor Grievance. Added knowledge/awareness regarding regulatory requirements w.r.t Investment Adviser, Research Analyst, Distribution activities, Portfolio Management, etc. will be preferred.
  • Communication: Strong verbal and written communication skills, with the ability to interact effectively with regulators and internal teams.
  • Attention to Detail: High level of accuracy in compliance documentation, and reporting, and surveillance activities.
  • Problem-Solving: Ability to quickly address and resolve compliance-related issues.
  • Behavioral Competencies: Excellent communication and inter-personal skills, good networking across industry/stakeholders. Eye for detail, ability to analyze and provide clear guidance, good teamwork

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