Surveillance Manager

AnandRathi; Mumbai; On-site; INR 900,000 - 1,300,000; Full time

Job summary

AnandRathi in Mumbai seeks an experienced professional to manage the CEO Office complaints, regulatory grievances, and critical customer escalations. You will investigate issues across trading, operations, and compliance, ensuring timely resolution and robust root cause analysis.

The role requires strong knowledge of capital markets, regulatory requirements, and excellent analytical, communication, and stakeholder management skills.

Qualifications

• 4-8 years of experience in Broking, Surveillance, Compliance, Risk, or Investor Grievance Management.
• Strong knowledge of capital markets, regulatory requirements, and customer grievance handling.
• Excellent analytical, communication, and stakeholder management skills.

Responsibilities

• Handle CEO Office complaints, regulatory grievances (SEBI SCORES/Exchange), and critical customer escalations.
• Investigate trading, dealer, operational, and service-related complaints and ensure timely resolution.
• Conduct root cause analysis (RCA) and implement corrective actions to prevent recurrence.
• Coordinate with Operations, Compliance, Risk, Surveillance, and Branch teams for case closure.
• Prepare MIS, escalation dashboards, and management reports.
• Ensure compliance with SEBI, Exchange, and internal regulatory guidelines.

Skills

Customer grievance handling

Analytical skills

Stakeholder management

Communication skills

Job description

Role & responsibilities :

• Handle CEO Office complaints, regulatory grievances (SEBI SCORES/Exchange), and critical customer escalations.
• Investigate trading, dealer, operational, and service-related complaints and ensure timely resolution.
• Conduct root cause analysis (RCA) and implement corrective actions to prevent recurrence.
• Coordinate with Operations, Compliance, Risk, Surveillance, and Branch teams for case closure.
• Prepare MIS, escalation dashboards, and management reports.
• Ensure compliance with SEBI, Exchange, and internal regulatory guidelines.

Skills & Experience:

• 4-8 years of experience in Broking, Surveillance, Compliance, Risk, or Investor Grievance Management.
• Strong knowledge of capital markets, regulatory requirements, and customer grievance handling.
• Excellent analytical, communication, and stakeholder management skills.