Feb 2021 – Apr 2025 · 4 yrs 2 mos · Noida, Uttar Pradesh, India

Jul 2011 – Feb 2021 · 9 yrs 7 mos · new delhi area, india

• Job Responsibilities :- The primary responsibilities of the profile involve conducting Internal Audit and Compliances and handling administrative and operational activities such as:
• Conducting internal audits of members (Stock Brokers) of NSE to ensure members are complying with provisions of SEBI Act, Circulars & Guidelines issued by SEBI.
• Conducted SEBI directed audits of members of NSE (Brokers & their Sub-Brokers).
• Ensuring margin risks are within prescribed limits.
• Checking the accounting and reporting system of members to maintain & improve their internal control procedures & standards.
• In-depth analysis of various financial ledgers & highly populated data provided by members to analyze accuracy & fairness of books of accounts.
• Ensuring settlement of funds & securities are being made and amount payable & securities deliverable are actually paid & delivered respectively.
• MIS reporting to the head office, ad-hoc queries management and handling escalations.
• Managing huge volumes of work within stringent deadlines.
• In-depth analysis of all types of trades punched in cash & derivative markets to ensure no trades are modified.
• Preparation of audit reports including analytics for upper management review.
• Giving Public Presentations/Seminars in Public, Corporate and Institutions on Financial Markets of India.
• Other Departments- Risk Management, Investor Service Cell and Listing
• Handled Investors’ Grievances against members of Stock Exchange in an efficient manner.
• Handling critical operations of National Securities Clearing Corporation Limited (NSCCL Department).
• Collateral management (in form of Cash, Fixed Deposit Receipts, Bank Guarantees and Securities) for the affiliated members for all the segments.
• Risk management by way of monitoring and counseling members about their outstanding positions w.r.t. to their capital, margin deposit, aggregate market positions etc.

Feb 2010 – May 2010 · 3 mos

• PROJECT TITLE: Risk Management of Derivative Strategy With Technical Analysis - 14 Weeks (Duration)
• Organization; Developing investment strategy and suggesting different strategies for investment in Futures & Options for all types of market conditions.
• Providing daily investment tips to investors and advising them to take future actions.
• Suggesting clients about various investments options with the help of technical tools and software.
• Sending daily reports to customers sighting insights about what happened in the financial markets.