Regulatory Complaint handling
5 days ago
Job Description
POSITION PURPOSE
Applicant requires effective understanding of Grievance Redressal Framework including adherence to regulatory management and guidelines. Must understand the process orientation for loans and Credit cards. Leverage considerable industry experience and best practice ideas to help NBFC drive towards class-leading quality-oriented customer service. Provide guidance and direction to service compliance, training on product propositions and processes, reporting, audit and cost control from a regulatory standpoint.
Primary Purposes:
1. Strong conceptual and analytical skills to view complaints from a 360-degree perspective to influence and manage stakeholders.
2. Managing the Grievance Redressal framework of the NBFC and ensure they run efficiently and smoothly
3. To provide interpretation & direction to Audit & compliance; drive the framework of governance within the vertical & being the face to Regulatory stakeholders.
4. Ensure that the Customer Services Unit is compliant with all Regulatory requirements,
emanating from the regulator including Banking Codes & Standards Board of India, Internal & external Auditors.
Sr. Key Responsibilities
1 Ensuring the NBFC is compliant with regulatory & internal guidelines on overall scope of Services.
2 Ensuring new regulations are implemented across services.
3 Work closely on escalated complaints from regulator to determine the efficacy of processes and controls.
4 Translate all new/updated Services related regulations into actionable items.
5 Ensure that all teams have implemented the guidelines in line with internal compliance standards based on regulatory requirements.
6 Ensure the NBFC is compliant with all regulatory circulars covering Customer Services.
7 Facilitating and monitoring Banking Ombudsman actionable, Adhoc requirements – RBI, BO, SEBI, Legal ,Police
8 Ensuring Regulatory Reporting viz Annually, Half yearly and Quarterly reporting as per RBI /IRDA regulations RBS Tranche I, IA, III.
9 Review & approval of all existing / new product notes from regulatory & Customer Service standpoint as per defined frequency.
10 Ensuring appropriate responses to complaints received from regulator within timeline.
11 Ensure Monthly and Quarterly submission of KRI details- ORMC.
12 Tracking and monitoring the Compliance Quarterly Certification.
13 Reviewing Policies/SOPs / Framework owned by CS to identify anomalies and provide suggestion basis a 360degree angle on regular basis.
14 Facilitating daily reports, regulatory reports, dashboards & scorecards as and when needed.
15 Represent the NBFC at various complaint forums, RBI meets, Banking Ombudsman’s offices and Service committees.
16 Liaising with the Banking Ombudsman’s office to ensure favourable outcome of cases under discussion and protecting organizational interests.
QUALIFICATIONS AND EXPERIENCE REQUIREMENT
Qualifications
- Essential- Graduate- Preferred- MBA
Experience
Essential: Min 10 years of experience in Customer service, banking Operations/Services and running and managing projects in Banking / Financial Services industry
Preferred: Exposure to Business analysis and delivery/service excellence, Ability to structure, plan and execute projects covering various business areas, Excellent communication, negotiation and influencing skills. Worked closely with Senior Mgmt. Leading Enterprise wide projects, process / initiatives and Team Management will be an added advantage.
Technical Skills
Skill Attribute
Complaints Handling
1. Aptitude to sense client impacting issues and propose measures to mitigate.2. Ability to cut through the organisation and seek appropriate information.3. Knowledge of all Banking processes, products & services.4. Ability to seek solutions to Client Issues & Complaints and handle them holistically Service Excellence.5. Treating Customer Right.6. Taking end-to-end Ownership of Customer Issues.7. Cutting across the Organisation to obtain results for Customer Servicing.8. Always handling Customers with a positive attitude.9. Valuing the value chain within the organisation.10. Staying ahead of Customer Needs/Queries Project Management.11. Overall Project Management & Execution, including.12. Initiating & Planning.13. Delivering results.14. Monitoring & Controlling.15. Project Risks.16. Stakeholder Management.17. Project Closure Skills.18. Using MS Excel, Word & PowerPoint.19. Well versed with Social Media, Online Banking and Mobile Banking Applications Communication Skills.20. Excellent communication skills, both oral & written.21. Business writing skills.
Behavioural Skills: Competencies Attribute
- Professionalism: To conduct your duties with good judgment and in good faith.- Respect: To be sensitive and responsible for what we say and do Excellence.- To act in a manner that earns the trust and admiration of others Entrepreneurial- To be enterprising and take ownership of our actions- Teamwork: Working collaboratively to achieve the common goals and be successful together- Client Oriented/Engaging: Ability to understand Customer Needs & Issues and keep them engaged while delivering the necessary.- Result Oriented: Unwavering focus on achieving results- Influence: Ability to influence stakeholders in a smooth, non-abrasive manner- Orientation to Excellence: Strives for Excellence in whatever they do- Attention to Detail: Being meticulous and checking the nitty gritty- Communications: The ability to convey information to others effectively and efficiently.- Perseverance : Persistence in doing something despite difficulty or delay in achieving success.- Time Management: Managing time effectively - allocating the right time to the right activity.- Process Orientation: The ability to ensure complete adherence to processes and question processes, where deemed necessary.- Passion for Service: Is passionate about delivering service excellence- Networking: Easily interacts with colleagues and builds relationships and rapport.- Leadership: Directs and advises others on performance of their jobs, using appropriate leadership styles while managing different individuals.- Motivating Others: Achieves results through effective use of people; inspires others to achieve goals by keeping them interested and satisfied while working on established targets. Maintains a productive and gratifying climate and by showing commitment and enthusiasm, obtains dedication from the team.- Decisiveness: Shows a readiness to make decisions, render judgements, commit oneself to definite opinions, taking actions and responsibility for such decisions.- Presentation: Effective presentation skills.
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