Role & responsibilities
- To resolve the complaints received from regulators within the TAT
- Complaints to be addressed after considering all the guidelines/compliances.
- Co-Ordinate with customer , branches , franchisee and internal depts for investigation of complaints, to do fact findings, settlements , resolution of complaints
- Co-ordinate with regulators/Exchanges for complaints.
- Attending Exchange meeting for complaints resolutions
- Take internal actions like warnings/Terminations for any negative remark found during investigations o Identifications of Process gaps/ improvements and to be taken up with internal stakeholders
- All the penalties/charges to be charged on timely basis to branches and BAs based on the complaints
- Appropriate complaints database maintenance and to give the complaints master on quarterly /half yearly to auditors as per requirements.
- Highlight to management for any frauds/wrong doings identified against branch/franchisees while handling the complaints. o Preparing and Sharing the monthly data with Senior management. o Preparing data for Exchanges / Depositories audits & inspections.
Preferred candidate profile
Experience: 2 to 3 years of experience in a broking firm
Domain Knowledge: Broking Industry o NISM 6 & 7 to be cleared mandatorily