The Role
Manage regulatory and escalated customer complaints across RBI, CPGRAMS, PNO, and internal channels. Responsibilities include investigating cases, reviewing transaction and communication records, drafting compliant responses, coordinating cross-functional resolutions, tracking regulatory timelines, conducting root-cause analyses, maintaining audit trails and reporting registers, identifying emerging risks, and supporting regulatory audits and reviews.
Summary Generated by Built In
Senior Executive - Compliance (Complaints Management)
About the RoleWe are looking for a dedicated and analytical Compliance Professional to join our team at Innofin Solutions Private Limited (ISPL) to manage regulatory and escalated customer grievances.
The role is responsible for the end-to-end handling of complaints received through regulatory and grievance-redressal channels, including RBI-related complaints, CPGRAMS escalations, PNO complaints, and other high-priority grievances.
The ideal candidate possesses strong investigation and drafting skills, a sound understanding of regulatory grievance-redressal frameworks in financial services (specifically RBI-regulated NBFC / NBFC-P2P ecosystems), and the cross-functional coordination ability to drive timely, compliant, and root-cause-oriented resolutions.
Key Responsibilities- End-to-End Complaint Management: Lead the complete lifecycle of regulatory and escalated customer complaints—from intake and deep-dive investigation to response drafting and resolution closure.
- Multi-Channel Oversight: Handle grievances coming through RBI / regulatory channels (RBI CMS, CEPC), CPGRAMS, PMO escalations, Principal Nodal Officer (PNO) channels, and internal leadership escalations.
- Investigation & Audit Trail Review: Perform thorough investigations by reviewing customer journeys, transaction logs, call recordings, communication history, internal policies, and relevant supporting records.
- Response Drafting: Draft clear, precise, accurate, and fact-based responses to customers, internal leadership, and regulatory/government authorities.
- Cross-Functional Collaboration: Partner with Customer Support, Operations, Product, Engineering, Finance, Collections, and Legal teams to drive quick investigation and resolution.
- TAT & Regulatory Adherence: Ensure strict adherence to applicable regulatory turnaround times (such as RBI Integrated Ombudsman Scheme timelines) and internal SLAs; proactively track ageing cases to prevent TAT breaches.
- Root Cause Analysis (RCA): Conduct structured RCA for significant, high-severity, or recurring complaints to identify operational, procedural, or technology control gaps.
- Preventive Governance: Track corrective action plans arising from complaints and collaborate with relevant teams to implement process fixes and prevent recurrence.
- MIS & Audit Preparedness: Maintain accurate complaint logs, regulatory reporting registers, and complete documentation trails for supervisory reviews and audits.
- Risk Intelligence & Trends: Analyze complaint trends and highlight emerging customer, conduct, and regulatory risks to management.
- Regulatory Support: Support regulatory reviews, audits, and periodic reporting requirements related to grievance redressal.
- Experience: 2–5 years of relevant experience in Compliance, Regulatory Complaints, Grievance Redressal, Customer Escalations, or Financial Services Operations.
- Domain Exposure: Experience within a Bank, NBFC, FinTech, NBFC-P2P, or other RBI-regulated entity is preferred.
- Regulatory Familiarity: Exposure to handling regulatory complaints, CPGRAMS, PNO/Nodal Officer escalations, and a solid understanding of RBI's customer grievance and consumer-protection frameworks.
- Drafting Excellence: Strong written communication skills with the ability to articulate factual, structured, and compliant response notes.
- Analytical Mindset: Strong analytical, investigation, and problem-solving abilities with high attention to detail.
- Case Execution: Ability to manage multiple high-priority cases simultaneously within strict, defined timelines.
- Stakeholder Management: Strong interpersonal skills for effective cross-functional coordination and stakeholder alignment.
Skills Required
- 2-5 years of relevant experience in compliance, regulatory complaints, grievance redressal, customer escalations, or financial services operations
- Experience within a bank, NBFC, FinTech, NBFC-P2P, or other RBI-regulated entity
- Exposure to regulatory complaints, CPGRAMS, PNO or Nodal Officer escalations, and RBI customer grievance frameworks
- Strong written communication and compliant response-drafting skills
- Strong analytical, investigation, problem-solving, and attention-to-detail skills
- Ability to manage multiple high-priority cases within strict timelines
- Strong interpersonal and cross-functional stakeholder-management skills
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The Company
What We Do
LenDenClub is a leading Peer-to-Peer (P2P) Lending platform that provides an alternate investment opportunity to investors or lenders looking for high returns with creditworthy borrowers looking for short-term personal loans. With 20lakh+ investors on board, LenDenClub has become a one-stop investment solution. LenDenClub’s FMPP has delivered returns above 11% p.a. to its investors in the past 3 months. It is a preferred alternative investment avenue over traditional asset classes. Moreover, it is safeguarded by market volatility and inflation. Therefore, investing with LenDenClub is a great way to diversify your investment portfolio. P2P investment is subject to risks. And investment decisions taken by a lender on the basis of this information are at the discretion of the lender, and LenDenClub does not guarantee that the loan amount will be recovered from the borrower.
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