Aug 2023 – May 2024 · 9 mos · Bangalore Urban, Karnataka, India · On-site

• 1. To comply with the Exchange, Depository and SEBI rules and regulations,
• 2. Create sound internal controls and monitor adherence to them,
• 3.Drafting and revising company policies as per Exchange, Depository and SEBI guidelines from time to time,
• 4. Proactively audit processes, practices and documents to identify weaknesses,
• 5. Submission of Internal Audit Reports twice in a year as per SEBI Regulations,
• 6. Handling Exchange and Depository Inspections(Onsite and Offsite),
• 7. Set plans to manage a crisis or compliance violation,
• 8. Educate and train employees on regulations and industry practices,
• 9. All weekly submission, quarterly reporting, quarterly settlement, annual returns submissions, Risk Based Supervision submission relating to rules and regulations of all exchange and SEBI.

Jul 2023 – Jul 2023 · 0 mo · Mumbai, Maharashtra, India · On-site

• Due to my unforeseen health issues, I had made this difficult decision to resign from this position.

Dec 2022 – Jun 2023 · 6 mos

• 1. Define, implement and manage operational processes as per regulatory framework to ensure exchange compliance.
• 2. Vendor management.
• 3. Able to build and manage teams for important functions like account opening, payin payout stock and funds, DP account, customer modification, RMS etc.
• 4. Responsible for customer support and seamless experience in a stock broking business.
• 5. Ensure process oriented, TAT driven customer support as per defined SOP.
• 6. Mentor and monitor team to ensure high level of accuracy and timely execution.
• 7. Coordinate with IT and Sales team for development of online customer support process and Process automations.
• 8. Handling regulatory audits of SEBI, Exchanges, etc.

Apr 2021 – Jun 2023 · 2 yrs 2 mos

• 1. To comply with the Exchange, Depository and SEBI rules and regulations,
• 2. Create sound internal controls and monitor adherence to them,
• 3.Drafting and revising company policies as per Exchange, Depository and SEBI guidelines from time to time,
• 4. Proactively audit processes, practices and documents to identify weaknesses,
• 5. Submission of Internal Audit Reports twice in a year as per SEBI Regulations,
• 6. Handling Exchange and Depository Inspections(Onsite and Offsite),
• 7. Set plans to manage a crisis or compliance violation,
• 8. Educate and train employees on regulations and industry practices,
• 9. Address employee concerns or questions on legal compliance,
• 10.All weekly submission, quarterly reporting, quarterly settlement, annual returns submissions, Risk Based Supervision submission relating to rules and regulations of all exchange and SEBI.

Nov 2020 – Mar 2021 · 4 mos

• 1. Setting the limit for the client in trading platform,
• 2. Checking the order routing & ensure the smooth functioning of trades,
• 3. Identifying the problems & giving the solutions to the problem on trades,
• 4. Preparing the margin reporting of all clients in derivative segments & reporting the same within the due date,
• 5. Doing the EOD process & keeping the supporting documents for records,
• 6. Coordinating with Exchange & Vendors on technical issues,
• 7. Issuing the DIS slip to the Demat Account holder,
• 8. Creating the Demat account in Backoffice & depository platform,
• 9. Uploading the Payin & payout files from back office in depository platform,
• 10. Reconciliation of pool account & CUSA account,
• 11. Processing of Dematerialization of shares,
• 12. Maintaining the records of offline share transfer.

May 2018 – Jun 2018 · 1 mo · Jaipur, Rajasthan

• Worked as an Intern in Kotak Life Insurance segment