13 Jan 2023
ixeR
Regional Head - ARO, 15 to 20 years in Ahmedabad
Ahmedabad
15-20 Years
SEBI, Grievance Handling, Income Tax, Investor Relation, Law Enforcement, Management Skills, Escalation Management, Regulatory Reporting
Job Description
Position: Regional Head - ARO
Qualification: CA, CS , MBA
Experience: 15 to 20 years
Location: Ahmedabad
Key Responsibility
Office Operations
Qualification: CA, CS , MBA
Experience: 15 to 20 years
Location: Ahmedabad
Key Responsibility
Office Operations
- Oversee the operations of all departments, namely, Member Compliance, ISC-Arbitration, Inspections at the regional office and ensure that they perform as per stated guidelines and standards.
- Liaise with the external regulators like SEBI, Police Officials, Directorate of Enforcement, Income Tax department, Economic Office Wing as and when required.
- Handle SEBI regional office queries and requirements; in consultation with Head Office whenever needed.
- Address member queries and expectations tactfully.
- Conduct familiarization programmes, trainings for brokers in order to help them to comply with new rules and regulations provided by SEBI.
- Assess & Escalate issues of concern to Senior management
- Respond to and manage escalations regarding regional issues , if any, from the second line managers at the regional office
- Keep self and team updated regarding the market developments and movements in order to be able to manage regulators and member needs, and expectations.
Investor Awareness
- Increase investor awareness through presentations to them on market scenarios and product offerings in tie-up with Investor Association of India, with SEBI, Chamber of commerce, Ministry of corporate affairs, Trade associations etc
- Organise Investor programmes through media in respective vernacular language
Grievance handling
- Handle all grievances from members and escalate them to Head office when required.
- Build relationships with members, financial organisations and other related organisations to provide better service to members/clients.
Subordinate Development
- Ensure person-job fit in the regional office to enhance employee productivity in the region
- Develop subordinates through continuous mentoring and identifying training needs for them
- Resolve conflicts in the office in a tactical manner through dialogues and discussions.
- Increase investor awareness through presentations to them on market
- To manage all regulatory operations at the regional office.
- To liaise with external regulators from the region.
- To empower investors about products and services and safety market practices