Analyze and respond to investor grievances and complaints received through SEBI, NSE, BSE, Depositories, and other regulatory authorities.
Provide timely clarification and resolution or facilitate amicable settlements with complainants as per regulatory requirements.
Represent the company in conciliation hearings, presenting facts clearly and defending the organization's position effectively.
Manage end-to-end arbitration cases including filing required papers, gathering evidences, preparing defenses, and attending arbitration hearings.
Coordinate with internal teams and regulatory bodies to ensure timely and accurate submission of required documents and responses.
Prepare and circulate MIS reports related to regulatory complaints, conciliation, and arbitration cases within defined timelines.
Stay updated with regulatory changes, circulars, and guidelines from SEBI, Exchanges, and Depositories, and ensure compliance.
Support in audits, reviews, and implementation of process improvements.
Qualification
Graduate/Post Graduate in Law, Commerce, Finance, or related disciplines.
Candidates with LLB/LLM or relevant Regulatory/Compliance certifications will be preferred.
Experience & Skills
10 to 15 years of experience in Regulatory Operations, Compliance, or Customer Service functions within the Capital Markets or Financial Services industry.
Prior experience in handling SEBI/NSE/BSE investor complaints and arbitration cases is highly desirable.
