Vice President -Client Engagement, Quality & Audit

Position Overview

Job Title - Vice president - Client Engagement, Quality & Audit

Location - Mumbai, India (with nationwide travel as required)

Reports To – CEO / Director

Employment Type - Full-Time

Experience Level - Senior Leadership (15+ years in financial services)

We are a leading phygital stock broking and financial products distribution firm in India, bridging seamless digital platforms with personalized physical advisory services. As we scale our operations to empower millions of investors, we seek a visionary leader to spearhead client & employee centric excellence. The National Head - Client Engagement, Quality & Audit will drive strategic initiatives to elevate service quality, client satisfaction, and engagement in a dynamic regulatory landscape governed by SEBI and RBI guidelines.

Job Summary

The National Head - Client Engagement, Quality & Audit is a pivotal C-suite role responsible for architecting and implementing frameworks that ensure unparalleled client experiences across our hybrid ecosystem. This leader will oversee auditing and quality assurance processes for employee-client interactions, analyze client satisfaction metrics, and innovate engagement tools and programs. By fostering a culture of continuous improvement, the role aims to enhance retention, loyalty, and revenue growth while mitigating compliance risks in stock broking, mutual funds, insurance, and other financial product distributions.

Key Responsibilities

Quality Assurance & Auditing

• Design and lead comprehensive audit programs to evaluate employee service delivery, ensuring adherence to internal SOPs, SEBI regulations, and industry best practices across digital (app / web) and physical (branch / advisory) touchpoints.
• Conduct root-cause analysis on service gaps, identify trends in client complaints / escalations, and implement corrective actions to minimize errors and enhance operational efficiency.
• Develop and monitor KPIs for quality metrics, such as response times, query resolution rates, and compliance scores, using data analytics tools to drive measurable improvements.

Client Satisfaction & Analytics

analyze data to uncoverinsights on pain points and opportunities in phygital interactions.

Client Engagement Strategy & Innovation

Team Leadership & Compliance

foster a collaborative environment aligned with our values of integrity and innovation.

conduct risk assessments and training to safeguard client interests.

Qualifications & Experience

CFA / CA or equivalent certification preferred.

Experience : 15+ years in financial services, with at least 7-10 years in client services, quality assurance, or engagement roles at a stock broking / distribution firm. Proven track record in phygital environments and national-level leadership.

Industry Knowledge : Deep understanding of Indian capital markets, SEBI / RBI regulations, and financial products (equities, derivatives, mutual funds, insurance).

Required Skills

ability to translate insights into actionable strategies.

strong stakeholder influence and presentation abilities for board-level reporting.

experience with AI / ML for client personalization in a phygital setup.

Compliance & Risk Management - Thorough knowledge of audit frameworks (ISO 9001, Six Sigma) and regulatory auditing.

Soft Skills - Customer-obsessed mindset, adaptability to fast-paced environments, and a passion for driving client delight.

Preferred Qualifications

regional language proficiency a plus for nationwide outreach.

What We Offer

If you are a strategic thinker with a proven passion for client excellence, apply now to lead our journey towards becoming the most trusted phygital financial partner in India. Shortlisted candidates will be contacted within two weeks.

Equal Opportunity Employer : We celebrate diversity and are committed to creating an inclusive environment for all employees