Compliance officer with a repute share broking Co in Mumbai


Compliance officer with a repute share broking Co in mumbai

send cv on info@busybig.com

call/sms on 8080704539; frm samir

SUMMARY OF SKILLS AND EXPERIENCE


ü  A Qualified MBA in Finance with more than 4.5 years post qualification experience in Financial Compliance & legal with reputed organisation.
ü  Thorough knowledge of working of the broking industry, with respect to Cash & Derivative Segments.
ü  Perform compliance audit work; apply regulations and compliance best practices for financial services firms.
ü  Thorough knowledge of BSE/NSE and SEBI rules and regulations.
ü  Perform audits relating to books and records, AML and CIP programs.
ü  Goal oriented & combination of hard work and smart work.
ü  Meticulous and organised work approach, with excellent time management skills.
ü  Adaptive towards corporate culture and behaviour, supplemented by zeal to learn.
ü  A hard worker & a fast learner with problem-solving, multi-tasking and creative abilities.
ü  Excellent Relationship management, Analytical and Communication Skills.

PROFESSIONAL CERTIFICATIONS

ü  Cleared NCFM certification in NSDL DP operations module
ü  Cleared BSE certification in Operation of BOLT TWS terminal
ü  Training in MS Access
ü  Certification in Office Automation from AISECT
ü  Training in Insider trading and takeover code
ü  Training in Prevention of Money laundering Act 2000 and KYC
ü  Training in Exchange Traded Fund

ORGANISATIONAL EXPERIENCE:

April 2007 – till Oct 2010 Bombay Stock Exchange Ltd.    Dy. Manager Audit & Compliance
Nov 2010 – till date LKP sec. Ltd. Head- Compliance and Legal

CAREER HIGHLIGHTS

Job profile at

Handling the compliance and legal matters/court cases related to company’s equity, F&O, currency derv., debt, IPO, DP operation pan India.

Bombay Stock Exchange Ltd.

Ø  Dept of Surveillance & Supervision: Surveillance & Supervision includes Inspection of Member Brokers of the Exchange within the Regulatory framework of SEBI & BSE and Compliances related to Unique Client code and PAN i.e (handling compliance of the brokers associated with the Exchange)

-          Conducting the routine inspection of Regional Stock Exchanges.
-          Conducting the routine inspection and Special Inspection as per the recommendation of SEBI of the member broker of BSE in Cash as well as Derivatives Segment.
-          Inspection and Compliance would involve analysis of the books with respect to Funds, Securities, Risk Management, and Operations & Working of the member.
-          Review and monitored internal procedures and practices to provide compliance with group and regulatory requirements.
-          Make sure that systems and Anti Money Laundering (AML) processes meet the requirements of regulatory
-          Responsible for processing the files of the inspection conducted from the beginning till the end.
-          Communicating the member brokers of the various irregularities observed during the inspection, by preparing a detailed report consisting of various heads.
-          Imposing appropriate & genuine fines on the member brokers for the discrepancies observed, in consultation with the HOD.
-          Advising the member brokers to take corrective action for the fines/penalties imposed.
-          Developed Compliance Manual to be used firm-wide for regulatory mandated continuing education; created all written policy regarding Inspection procedure also
-          a key person in analyzing department work flow, creating efficiencies by eliminating unnecessary and/or redundant functions and reallocating human capital towards more focused goals.
-          Designed the KYC for DMA facility (Direct Market Access)
-          Designed the framework and contents for internal audit of Brokers, also a part of team internal audit reports of Member Brokers
-          Drafted  and handling compliances related to many notices for member brokers regarding compliances of UCC and PAN which includes allotment of client codes to institutional clients, UCC modification
-          Handling the compliances related to client funding and location code mismatch related issues
-          Responsible for preparation of MDR, General charges and MIS of the department


IT SKILLS: Dos, Windows, MS Office, MS Excel.

send cv on info@busybig.com
call/sms on 8080704539; frm samir

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