About the role
- Manage and guide a team of Quality Auditors, ensuring audit targets, accuracy and TAT are consistently met.
- Oversee audits of VRM/Dealer calls and other client interactions covering business acquisition, investments, account opening, trading and service-related activities.
- Ensure adherence to SEBI/regulatory guidelines, internal policies, processes and sales-conduct standards.
- Identify and escalate critical compliance, mis-selling, process and customer-impacting gaps.
- Conduct regular calibration and quality checks to ensure consistency and accuracy of audits.
- Analyse audit trends and provide actionable inputs for business improvement, including opportunities to improve conversion, client engagement, process efficiency and customer experience.
- Identify recurring gaps and work with Business, Training, Compliance and Operations teams on corrective actions and improvement plans.
- Prepare and present quality MIS, key trends, risk areas and business improvement recommendations to stakeholders.
- Drive continuous improvement in quality, compliance, customer experience and business outcomes.