Nuvama Group | Investor Grievance and Compliance Manager

2 days ago

mumbai, India Nuvama Group Full time

Key Responsibilities:


Handling Regulatory Investor Grievances

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

Filing ATR within 21 days to Regulators

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


Compliance Audits & Inspections:


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


Coordination with Regulators:


  • Liaise with SEBI, exchanges (NSE/BSE), and other regulatory bodies for routine and ad hoc compliance requirements.
  • 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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