AVP - Investor Grievance - Stock Broking Firm

Preferably from Stock Broking background

- Lead the response and resolution of customer grievances that are received from the Exchanges / Depository / SEBI via different channels by liaising with internal stakeholders / departments as needed

- Own and manage overall resolution TAT as defined by Regulatory guidelines and ensure 100% adherence, including timely response to rejoinders

- Ensure requisite representation of IG team members including self as needed in the General / Conciliation meetings with appropriate back-up data and artifacts

- Implement policies and procedures for handling investor grievances as per regulatory requirements and norms

- Coach, motivate and mentor team members on the process of resolving disputes/grievances in a time bound and effective manner

- Ensure that the regulatory guidelines are understood and followed by all team members, thereby enabling appropriate responses & closures

- Oversee the day-to-day functional requirements within the IG process with focus on Quality of closures as per defined norms

- Review improvement opportunities in the investor grievance handling process in a periodic manner and drive corrective measures as needed

- Highlight Product / Process / Tech improvement opportunities based on grievance trends and recurrences thereof to relevant stakeholders for appropriate fixes

- Monitor and track the investor complaints, maintaining accurate records, MIS / reports with structured updates to all stakeholders and Management

- Drive automation of processes with an aim to improve efficiency

- Ensure timely data / report submission as necessary for various regulatory inspections / audits as well as management report outs