Deipti Mahajan

CEO

Gurgaon, Haryana, India20 yrs 6 mos experience

Most Likely To SwitchHighly Stable

Key Highlights

20+ years in Exchange and Stock Broking Activities
Expert in Compliance and Risk Management
Proficient in setting up businesses from scratch

Stackforce AI infers this person is a Compliance and Trading expert in the Fintech industry.

Contact

Skills

Core Skills

ComplianceTrading

Other Skills

AccountingAlgo CertificationsBankingBusiness DevelopmentCapital MarketsCommodityCompliance TestingDerivativesDerivatives TradingDue DiligenceEnforcement ActionsEquitiesEquity DerivativesEquity TradingFinance

About

• A professional with 20 years plus rich experience in various domain of Exchange and Stock Broking Activities viz., Trading, Compliance, Clearing & Settlement, Risk Management and Accounting. • Currently associated with Tower Research Capital India Private limited as Head of Compliance- India Advisory and Compliance Officer- APAC. • Experience of setting up a business from scratch involving Setting up a company, exchange membership and enablement of trading. • Expertise in the stock exchange and broking activities of clearing & settlement, fund management, Trading, compliance, and Finance and Accounts from a Broking house prospect for India and Global Markets. • Expert and experienced in Trading, Compliance, Clearing & Settlement, finance and Accounting with in-depth knowledge of the latest industry trends. • Formulation of policies in relation to Accounts, Finance, Trading, clearing & Settlement, surveillance, risk Management. • Experience of working in APAC markets and crypto venues.

Experience

Tower research capital

2 roles

Compliance Head India Advisory & Compliance Officer APAC

Promoted

Aug 2020 – Present · 5 yrs 7 mos

Independently managing the compliance program for India, involving regulatory compliances, trading compliances, trade surveillance, system and Internal audits, algo certifications etc.
Acting as a primary point of contact for exchanges, SEBI and other regulatory bodies.
Independently managing MAS OTC reporting obligation for APAC markets.
Onboarding New trading teams, venues, asset classes, products and crypto venues involving due diligence, risk assessment and regulatory review.
Proficient in setting up the business from scratch involving setting up an entity, exchange approvals, attaining new memberships and enablement of business.
Instrumental in setting up the Tower business in India for DGCX, NSE, BSE and MCX markets.
Instrumental in enabling Self clearing membership of exchanges and setting up operations from the scratch for NSE, BSE and MCX.
Managing Business relation with Exchanges, trading teams and other market participants.
As part of other initiatives, currently working with APAC compliance team on implementing compliance program of APAC markets, Implemented MAS-OTC derivatives project for APAC markets.
Proficient in using tools like JIRA and Confluence, Accounting software like Tally, Shilpi (back office application), Quick books.
Responsible for compliance training.