Senior Compliance Officer
1 day ago
Job Description:
- We are looking for an experienced professional to handle investor grievances and ensure compliance with regulatory requirements.
- You will be responsible for coordinating with the CXO team, stakeholders, and regulators to resolve investor complaints in a timely manner.
- The ideal candidate will have strong communication skills, attention to detail, and the ability to analyze complex issues.
Responsibilities:
- Investor Grievance Resolution:
Downloading complaints and forwarding to the CXO team for resolution
Maintaining a database for various grievance matters and cases
Coordinating with the CXO team/stakeholders & regulators - Filing ATR and Reporting:
Collating details of direct complaints and reporting to exchanges by the 7th of every month
Uploading investor complaints/charter on the NWIL website by the 7th of every month
Submission of BO grievance reports for direct & regulatory complaints by the 10th of every month
Attending conciliation proceedings on Smart ODR
Coordination for clearing of Smart ODR fees
Coordinating with the legal team for arbitration matters
Providing complaint details to various stakeholders as and when required
Implementation of grievance-related circulars - Compliance Audits & Inspections:
Assisting in preparing for and facilitating internal and external audits and regulatory inspections (SEBI, NSE, BSE, MCX, NCDEX)
Monitoring and conducting Branch/AP Inspections as per regulatory requirements
Addressing audit findings and ensuring any compliance gaps identified are resolved in a timely manner
Implementing corrective actions and ensuring continuous improvement in compliance procedures based on audit recommendations
Conducting compliance test checks for various compliance areas, identifying gaps, and taking steps for redressal - Coordination with Regulators:
Liaising with SEBI, exchanges (NSE/BSE), and other regulatory bodies for routine and ad-hoc compliance requirements
Responding to regulatory queries, notices, and investigations, ensuring prompt and accurate communication
Requirements:
- Bachelor's degree in law, finance, business administration, or related fields
- 6-8 years of experience in compliance, preferably within the broking or financial services industry handling investor grievance resolution
- Regulatory knowledge: Good understanding and experience of regulations governing SEBI/exchange compliances in relation to broking and depository participant, investor grievance
- 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 interpersonal skills, good networking across industry/stakeholders. Eye for detail, ability to analyze and provide clear guidance, good teamwork
Estimated Salary:
$120,000 - $180,000 per annum
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