Customer Service - Regulatory

Job responsibilities

• 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.