Senior Executive - Compliance (Complaints Management)

About the Role

We are looking for a dedicated and analytical Compliance Professional to join our team at Innofin Solutions Private Limited (ISPL) to manage regulatory and escalated customer grievances.

The role is responsible for the end-to-end handling of complaints received through regulatory and grievance-redressal channels, including RBI-related complaints, CPGRAMS escalations, PNO complaints, and other high-priority grievances.

The ideal candidate possesses strong investigation and drafting skills, a sound understanding of regulatory grievance-redressal frameworks in financial services (specifically RBI-regulated NBFC / NBFC-P2P ecosystems), and the cross-functional coordination ability to drive timely, compliant, and root-cause-oriented resolutions.

Key Responsibilities

- End-to-End Complaint Management: Lead the complete lifecycle of regulatory and escalated customer complaints-from intake and deep-dive investigation to response drafting and resolution closure.
- Multi-Channel Oversight: Handle grievances coming through RBI / regulatory channels (RBI CMS, CEPC), CPGRAMS, PMO escalations, Principal Nodal Officer (PNO) channels, and internal leadership escalations.
- Investigation & Audit Trail Review: Perform thorough investigations by reviewing customer journeys, transaction logs, call recordings, communication history, internal policies, and relevant supporting records.
- Response Drafting: Draft explicit, precise, accurate, and fact-based responses to customers, internal leadership, and regulatory/government authorities.
- Cross-Functional Collaboration: Partner with Customer Support, Operations, Product, Engineering, Finance, Collections, and Legal teams to drive quick investigation and resolution.
- TAT & Regulatory Adherence: Ensure strict adherence to applicable regulatory turnaround times (such as RBI Integrated Ombudsman Scheme timelines) and internal SLAs; proactively track ageing cases to prevent TAT breaches.
- Root Cause Analysis (RCA):



Conduct structured RCA for significant, high-severity, or recurring complaints to identify operational, procedural, or technology control gaps.
- Preventive Governance: Track corrective action plans arising from complaints and collaborate with relevant teams to implement process fixes and prevent recurrence.
- MIS & Audit Preparedness: Maintain accurate complaint logs, regulatory reporting registers, and complete documentation trails for supervisory reviews and audits.
- Risk Intelligence & Trends: Analyze complaint trends and highlight emerging customer, conduct, and regulatory risks to management.
- Regulatory Support: Support regulatory reviews, audits, and periodic reporting requirements related to grievance redressal.

What We re Looking For

- Experience: 2-5 years of relevant experience in Compliance, Regulatory Complaints, Grievance Redressal, Customer Escalations, or Financial Services Operations.
- Domain Exposure: Experience within a Bank, NBFC, FinTech, NBFC-P2P, or other RBI-regulated entity is preferred.
- Regulatory Familiarity: Exposure to handling regulatory complaints, CPGRAMS, PNO/Nodal Officer escalations, and a solid understanding of RBIs customer grievance and consumer-protection frameworks.
- Drafting Excellence: Strong written communication skills with the ability to articulate factual, structured, and compliant response notes.
- Analytical Mindset: Strong analytical, investigation, and problem-solving abilities with high attention to detail.
- Case Execution: Ability to manage multiple high-priority cases simultaneously within strict, defined timelines.
- Stakeholder Management: Strong interpersonal skills for effective cross-functional coordination and stakeholder alignment.

Required Skills

Customer Communication Collaboration Problem Solving Ownership & Accountability

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.

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