Ishan Sood

Operations Associate

Mumbai, India9 yrs 4 mos experience

AI EnabledHighly Stable

Key Highlights

Expert in securities regulation and financial fraud prevention.
Leveraging AI for enhanced regulatory compliance.
Strong background in corporate governance and policy formulation.

Stackforce AI infers this person is a Fintech regulatory expert with a focus on AI-driven compliance solutions.

Contact

Skills

Core Skills

Securities RegulationData AnalyticsBankingSql

Other Skills

Media MonitoringAI/MLMicrosoft ExcelDigital MarketingSocial Media MarketingResearch SkillsOracle E-Business SuiteAI ProductivityArtificial Intelligence for BusinessProductivity Improvement

About

Experienced finance professional with 9+ years in stock market regulation, banking, and consulting. Currently, I'm engaged in policy matters related to stockbrokers and collaborating with social media platforms to combat stock market fraud and protect investors. I believe technology is a powerful tool for positive change. I'm currently exploring how AI can be leveraged to enhance regulatory compliance within the financial sector. My recent interest in philosophy has deepened my understanding of ethics and decision-making, which are crucial in the finance industry. And becoming a parent has reinforced my commitment to building a better future. Always open to insightful conversations and experiences. Feel free to reach out! Blogging @ https://lifeofpisquare.com/

Experience

9 yrs 4 mos

Total Experience

3 yrs

Average Tenure

2 mos

Current Experience

Securities and exchange board of india (sebi)

Assistant General Manager

Mar 2026 – Present · 2 mos · Mumbai Metropolitan Region · On-site

Looking for innovative ways to combat stock market fraud and protect investors. If you have any ideas, feel free to reach out!

Sebi

2 roles

Manager

Jan 2023 – Mar 2026 · 3 yrs 2 mos · Mumbai, Maharashtra, India

Market Intermediaries Regulation and Supervision Department
Policy on Stock Brokers and Depository Participants.
Media Monitoring Cell - Coordination with social media platforms to curb stock market frauds.
Corporation Finance Department
Corporate Restructuring – Takeovers, Buybacks, Schemes of Arrangements - Mergers, Amalgamations, Restructuring etc.
1. Processing of offer documents
2. Data Analytics project (using AI/ML) pertaining to takeovers with a top tier consulting firm.

Securities RegulationMedia MonitoringData AnalyticsAI/ML

Assistant Manager

Jan 2019 – Jan 2022 · 3 yrs · Mumbai, Maharashtra, India

Corporation Finance Department
Corporate Governance issues of Listed companies – Policy formulation and Monitoring
1. Circular on SOP for dealing with Non-compliance by listed companies - graded action including levy of fines, suspension and compulsory delisting.
2. Circular on e-voting facility by listed companies – Unified login through depositories or directly through demat account.
3. Policy related to Independent Directors – amendment in Listing Regulations pertaining to eligibility, appointment, removal etc. of Independent Directors on the boards of listed companies.