Vice president -Client Engagement, Quality & Audit

Position Overview

Job Title - Vice president - Client Engagement, Quality & Audit

Location - Mumbai, India (with nationwide travel as required)

Reports To – CEO / Director

Employment Type - Full-Time

Experience Level - Senior Leadership (15+ years in financial services)

We are a leading phygital stock broking and financial products distribution firm in India, bridging seamless digital platforms with personalized physical advisory services. As we scale our operations to empower millions of investors, we seek a visionary leader to spearhead client & employee centric excellence. The National Head - Client Engagement, Quality & Audit will drive strategic initiatives to elevate service quality, client satisfaction, and engagement in a dynamic regulatory landscape governed by SEBI and RBI guidelines.

Job Summary

The National Head - Client Engagement, Quality & Audit is a pivotal C-suite role responsible for architecting and implementing frameworks that ensure unparalleled client experiences across our hybrid ecosystem. This leader will oversee auditing and quality assurance processes for employee-client interactions, analyze client satisfaction metrics, and innovate engagement tools and programs. By fostering a culture of continuous improvement, the role aims to enhance retention, loyalty, and revenue growth while mitigating compliance risks in stock broking, mutual funds, insurance, and other financial product distributions.

Key Responsibilities

Quality Assurance & Auditing

• Design and lead comprehensive audit programs to evaluate employee service delivery, ensuring adherence to internal SOPs, SEBI regulations, and industry best practices across digital (app/web) and physical (branch/advisory) touchpoints.
• Conduct root-cause analysis on service gaps, identify trends in client complaints/escalations, and implement corrective actions to minimize errors and enhance operational efficiency.
• Develop and monitor KPIs for quality metrics, such as response times, query resolution rates, and compliance scores, using data analytics tools to drive measurable improvements.

Client Satisfaction & Analytics

• Oversee client satisfaction surveys (NPS, CSAT) and feedback mechanisms at individual, regional, and national levels; analyze data to uncover insights on pain points and opportunities in phygital interactions.
• Collaborate with cross-functional teams (sales, tech, compliance) to address satisfaction drivers, reducing churn and boosting advocacy in a competitive market.
• Benchmark client experience against industry peers (e.g., Zerodha, Groww, HDFC Securities) and recommend enhancements to personalize services for diverse segments like retail investors, HNIs, and millennials.

Client Engagement Strategy & Innovation

• Architect robust engagement programs, including loyalty initiatives, educational webinars, personalized advisory tools, and digital nudges (e.g., AI-driven portfolio alerts, gamified investment challenges).
• Lead the creation of scalable client engagement platforms, integrating CRM systems (e.g., Salesforce) with our phygital infrastructure to enable omnichannel interactions.
• Partner with marketing and product teams to launch client-centric campaigns that promote financial literacy, product adoption, and long-term relationships, targeting 20-30% YoY growth in engagement metrics.

Team Leadership & Compliance

• Build and mentor a high-performing national team of quality auditors, engagement specialists, and analysts; foster a collaborative environment aligned with our values of integrity and innovation.
• Ensure all processes comply with evolving regulations (e.g., SEBI's client protection norms, data privacy under DPDP Act); conduct risk assessments and training to safeguard client interests.
• Report quarterly insights to executive leadership, influencing strategic decisions on service enhancements and resource allocation.

Qualifications & Experience

Education: MBA or equivalent in Finance/Business Management from a premier institute (e.g., IIMs, XLRI); CFA/CA or equivalent certification preferred.

Experience: 15+ years in financial services, with at least 7-10 years in client services, quality assurance, or engagement roles at a stock broking/distribution firm. Proven track record in phygital environments and national-level leadership.

Industry Knowledge: Deep understanding of Indian capital markets, SEBI/RBI regulations, and financial products (equities, derivatives, mutual funds, insurance).

Required Skills

Strategic & Analytical -

Leadership & Communication -

Innovation & Tech-Savvy

Compliance & Risk Management

Soft Skills

Preferred Qualifications

• Prior experience in scaling client engagement programs that resulted in quantifiable outcomes (e.g., 15%+ NPS uplift).
• Exposure to fintech innovations or partnerships with digital platforms.
• Fluency in English and Hindi; regional language proficiency a plus for nationwide outreach.

What We Offer

• Competitive remuneration package with performance incentives and ESOPs.
• Opportunity to shape the future of client experiences in India's booming financial sector.
• Comprehensive benefits: Health insurance, professional development, flexible work options, and a collaborative culture.

If you are a strategic thinker with a proven passion for client excellence, apply now to lead our journey towards becoming the most trusted phygital financial partner in India. Shortlisted candidates will be contacted within two weeks.

Equal Opportunity Employer: We celebrate diversity and are committed to creating an inclusive environment for all employees