CS Hardeep Singh Arora — Operations Associate

Compliance Professional with over 10 years of experience in Financial Services Industry. My expertise spans Stock Market Compliances, Exchange Products -Governance, Risk Management, Internal Audit, KYC/AML, Clearing & Settlement Operations, Secretarial practices & ROC Compliances My core strengths include handling SEBI and Exchange inspections, leading Regulatory Reporting, managing Risk & Compliance Frameworks and maintaining seamless coordination with Regulators, Statutory Bodies and Internal Stakeholders Currently, leading the Exchange Compliances at INDmoney, supporting the organization’s growth by ensuring a compliance-first. Work closely with product and technology teams to embed regulatory alignment into every stage of product development ensuring our offerings are both regulator-ready and investor-focused. We aim to deliver comprehensive financial solutions in one place, built on both innovation and accountability Over the years, I’ve had the opportunity to work with renowned institutions of Capital Market: With National Stock Exchange – gained in-depth exposure of Regulatory Framework of India’s Equity Markets, particularly understanding the Exchange’s perspective on Member’s inspections and surveillance At Orbis Financial Corporation Ltd. – learnt core compliances of Custodial Services and compliance functions related to Professional Clearing Members, Debenture Trustees, Registrars & Share Transfer Agents, and Foreign Portfolio Investors (FPIs) With Globe Capital Market Ltd. – where, as part of Internal Auditor Team, I developed strong skills in Regulatory Audits, Risk Assessment, internal process controls and compliances for Stock Broking Operations Have completed 15-month CS Management Training in a listed company, with hands-on exposure to SEBI (LODR) Regulations, Board Governance, ROC Filings, and Corporate Legal & Secretarial Functions I’m a passionate advocate for Investor Protection, Financial Literacy, and Market Transparency with proven strengths in liaising and actively engage with Regulators, Statutory Bodies and Internal Stakeholders. With a deep interest in Investor Rights and Financial Planning. Always open to connect & exchange ideas and expand networking and collaborate on meaningful initiatives in the financial services space. Feel free to connect for discussion on Indian Capital Market & Exchange Regulated Products. Happy to help & build a more transparent, compliant, and investor-friendly ecosystem. Let’s connect and work together to drive impactful change.

Stackforce AI infers this person is a Compliance Professional in the Fintech industry with a strong focus on regulatory frameworks.

Location: Gurugram, Haryana, India

Experience: 10 yrs 6 mos