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13 Jan 2023


Regional Head - ARO, 15 to 20 years in 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 
  • 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 

13 January 2023


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