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1 Edelweiss Compliance Manager Job

Investor Grievance and Compliance Manager (3rd Party Payroll)

2-6 years

Mumbai

1 vacancy

Investor Grievance and Compliance Manager (3rd Party Payroll)

Edelweiss

posted 18d ago

Job Role Insights

Flexible timing

Key skills for the job

Job Description

Key Responsibilities:

Handling Regulatory Investor Grievances

  1. Downloading complaints and forwarding to CXO team for resolution
  2. Maintaining database for various grievance matters and cases.
  3. Coordinating with CXO team/stakeholders & regulators

Filing ATR within 21 days to Regulators

  1. Collating details of direct complaints and reporting to exchanges by 7th of every month.
  2. Uploading of Investor complaints/charter on the NWIL website by 7th of every month
  3. Submission of BO grievance reports for direct & regulatory complaints by 10th of every month.
  4. Attending conciliation proceedings on Smart ODR
  5. Coordination for clearing of Smart ODR fees
  6. Coordinating with legal team for arbitration matters
  7. Providing the complaints details to various stakeholders as and when required
  8. Implementation of grievance related circulars

Compliance Audits & Inspections:

  1. Assist in preparing for and facilitating internal and external audits and regulatory inspections (SEBI, NSE, BSE, MCX, NCDEX).
  2. Monitoring and conducting of Branch/AP Inspections as per the regulatory requirements
  3. Address audit findings and ensure any compliance gaps identified are resolved in a timely manner.
  4. Implement corrective actions and ensure continuous improvement in compliance procedures based on audit recommendations.
  5. Conduct compliance test checks for various compliance areas, identify gaps and take steps for redressal.

Coordination with Regulators:

  1. Liaise with SEBI, exchanges (NSE/BSE), and other regulatory bodies for routine and ad hoc compliance requirements.
  2. Respond to regulatory queries, notices, and investigations, ensuring prompt and accurate communication.

Qualifications and Skills Required:

  • Education: Bachelors degree in law, Finance, Business Administration, or related fields.
  • Experience: 2 - 5 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


Employment Type: Full Time, Temporary/Contractual

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What Compliance Manager at Edelweiss are saying

Compliance Manager salary at Edelweiss

reported by 4 employees with 5-6 years exp.
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₹11.3 L/yr - ₹13.2 L/yr
10% less than the average Compliance Manager Salary in India
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What Edelweiss employees are saying about work life

based on 1.1k employees
57%
64%
44%
98%
Flexible timing
Monday to Friday
Within city
Day Shift
View more insights

Edelweiss Benefits

Health Insurance
Job Training
Soft Skill Training
Work From Home
Cafeteria
Team Outings +6 more
View more benefits

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Edelweiss Mumbai Office Locations

View all
Mumbai Office
Headquarter
Edelweiss Securities Limited, 14th Floor, Express Towers, Nariman Point, Marine Lines, Vidhan Bhavan Marg, Nariman Point Mumbai
Maharashtra 400021
Mumbai Office
Unit No 102, 10th Floor, Sakhar Bhavan, 230, Nariman Point, Mumbai 400 021 Mumbai
400021

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