Jun 2017 – Present · 9 yrs · Jaipur · On-site

• Lead the Compliance and Back Office Department, overseeing the end-to-end compliance function within the group, ensuring adherence to guidelines, circulars, and statutes while spearheading initiatives to optimize processes.
• Collaborate closely with the Back Office, Trading, and RMS Departments, facilitating the seamless implementation of latest and ongoing compliance requirements and company policies, with a focus on minimizing manual intervention through automation.
• Partner with the Finance and Accounts Department, providing supervision for day-to-day operations, overseeing GST and TDS compliance, and reviewing annual financial statements such as Balance Sheet and P&L Statement, ensuring timely submission to Exchanges and ROC.
• Work closely with Back Office and Front Office Vendors, ensuring accurate implementation of new and existing compliance provisions. Develop standardized operating procedures (SOPs) to verify the accuracy of various reporting files, including Demat Holding Reporting, Daily Client and Bank Balance Reporting, Weekly Enhanced Supervision Report, and Segregation of Client Collateral originating from the Back Office.
• Ensure compliance with online client on boarding provisions and monitor the smooth closure and submission of Yearly and Half-Yearly System and Cyber Audits.
• Successfully managed Offsite and Onsite Exchange& SEBI Inspections, ensuring timely provision of inspection data, reports, and documents. Effectively handled post-inspection communication & addressed queries of inspection departments.
• Facilitate seamless coordination with Internal & Statutory Audit teams, System & Cyber Audit Teams, monitor and ensure the timely completion of various submissions to Exchanges, Clearing Corporations, and regulatory bodies on a daily, weekly, monthly, quarterly, half-yearly, and yearly basis.
• Directly report to the Board of Directors, providing strategic insights and updates on compliance and operational matters.