Sanjeev kumar

CEO

Gujarat, India11 yrs 1 mo experience

Key Highlights

Expert in regulatory compliance and risk management.
Proven track record in capital market operations.
Strong collaboration with technology and legal teams.

Stackforce AI infers this person is a Fintech Compliance and Risk Management expert with extensive experience in capital markets.

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Skills

Core Skills

Regulatory ComplianceRisk ManagementCompliance

Other Skills

Back Office OperationsBanking OperationCapital MarketsClient servicingCommodity MarketsCompliance formalitiesCompliance policiesDepository auditInternal Compliance GuidelinesInvestigationMonitoring ordersNSERegulatory inquiriesSEBISecurity Management

About

Handling all the Capital market operation, Regulatory Compliance reporting for PMS and AIF and Risk Management and Operations management. ● Ensuring verification of KYC documents of the prospective customers as per the recent IFSCA AML/CFT/KYC Guidelines; ● Managing capital market operation at the IBU GIFT City related to investment in foreign securities through Unsponsored Depository Receipt (UDR) by resident individuals under LRS route; ● Managing Dividend ,Bonus and Corporate Action related Circulate to regulator. Handled SEBI, NSE and Depository audit/inspection. ● Develop policies to support Gift City compliance policies ● Trade Surveillance- timely analysis of alerts escalated by Exchange. ● Worked with Technology teams and / or vendors in developing new tools and surveillance controls. ● Work to help monitor orders, executions, allocations, trading errors, and more. ● Retrieve information for regulatory inquires for NSE, BSE, MCX, BSI, NSI SGX, Hong Kong, DGCX, CME and BRAZIL. ● Handled All Trade Operation Process of the entire exchange NSE, BSE, MCX, BSI, NSI SGX, Hong Kong, DGCX, CME and BRAZIL. ● Handled Stamp Duty Refund as per Gift City Compliance. ● Worked with Legal team to analyze changes to regulatory requirements, handle regulatory inquiries and investigations, and more.

Experience

Akino capital india ifsc pvt ltd

Chief Compliance Officer

Mar 2025 – Present · 1 yr

Sankalp group

Compliance and operations head

Jul 2023 – Apr 2025 · 1 yr 9 mos · Ahmedabad, Gujarat, India

Estee advisors private limited

Manager compliance/Risk / Operation

Jul 2020 – Sep 2022 · 2 yrs 2 mos · Gandhinagar, Gujarat, India · On-site

Handling SEBI, NSE and Depository audit/inspection.
● Develop policies to support Gift City compliance policies
● Trade Surveillance- timely analysis of alerts escalated by Exchange.
● Working with Technology teams and / or vendors in developing new tools and
surveillance controls.
● Work to help monitor orders, executions, allocations, trading errors, and more.
● Retrieve information for regulatory inquires for NSE, BSE, MCX, BSI, NSI SGX, Hong
Kong, DGCX, CME and BRAZIL.
● Handling Trade Process of the exchange NSE, BSE, MCX, BSI, NSI SGX, Hong Kong,
DGCX, CME and BRAZIL.
● Handling Stamp Duty Refund as per Gift City Compliance.
● Working with Legal team to analyze changes to regulatory requirements, handle
regulatory inquiries and investigations, and more.

SEBINSEDepository auditTrade SurveillanceRegulatory inquiriesCompliance policies+4

Kaynet finance limited

Compliance Manager

Nov 2011 – Jan 2018 · 6 yrs 2 mos · Delhi, India

Significantly contributed in making Company’s Internal Compliance Guidelines
● Handled Authenticated trade confirmation & Compliance formalities.
● Handled SEBI, NSE and Depository audit/inspection.
● Managed internal audit (i.e. Trading Style, Trade Confirmation, MIS report and So on).
● Managed DP Related Compliance, E-Contract note, Physical Contract note and so on.
● Client servicing, handling customer support and queries.
● Handled Authenticated trade confirmation & Compliance formalities.
● Managed time to time Branches Inspection for maintain compliance.