Surveillance Manager

Job Responsibilities:

• Handle CEO Office complaints, regulatory grievances (SEBI SCORES/Exchange), and critical customer escalations.
• Investigate trading, dealer, operational, and service-related complaints and ensure timely resolution.
• Conduct root cause analysis (RCA) and implement corrective actions to prevent recurrence.
• Coordinate with Operations, Compliance, Risk, Surveillance, and Branch teams for case closure.
• Prepare MIS, escalation dashboards, and management reports.
• Ensure compliance with SEBI, Exchange, and internal regulatory guidelines.

Skills & Experience:

• 4-8 years of experience in Broking, Surveillance, Compliance, Risk, or Investor Grievance Management.
• Strong knowledge of capital markets, regulatory requirements, and customer grievance handling.
• Excellent analytical, communication, and stakeholder management skills.