Details of the Organization

Nuvama Group (formerly Edelweiss Wealth Management) is backed by the trust and reputation earned through over 25+ years in the Indian market and strengthened by a global partnership with PAG, a firm that has been advancing the world of private equity, real assets and credit & markets, in the APAC region for over 2 decades now.

Details of the Job/Internship

Nuvama Group is hiring an Investor Grievance and Compliance Manager to join them in Mumbai office. 

Role and 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.

Eligibility

• 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

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

State

Maharashtra

City

Mumbai

Address

Mumbai, India

Application and Registration Details

After you apply, you will receive the next steps of the application process via email. 

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For any questions or concerns, please contact us via email at: [email protected].