Experience

PhillipCapital India

• India
• Financial Services
• 100 - 200 Employee

• Chief Manager

  • Sep 2021 - Present



NSE India

• India
• Capital Markets
• 700 & Above Employee

• Manager

  • Apr 2015 - Sep 2021

  Identifying operational risk, market risk, credit risk and process risk and conducting root cause analysis for observations noted during audits, inspections and investigations of members. Identifying internal controls deficiencies and providing recommendations for improving processes. Performed internal audits of financial and departmental operations, developing risk assessments and conducting process walkthrough for compliance with documented processes. Collaborating on team with Regulator in implementation, monitoring and supervision of new rules and regulations and suggesting improvements in regulatory provisions. Partnered with Market Intermediaries for implementation of new rules, regulations and circulars.Participating in development, implementation, evaluation and modification of policies & procedures to optimize compliance requirements. Succeeded in development of integrated systems for Risk Based Supervision, Enhanced Supervision of stock brokers, Early Warning Mechanism & Standardization of Books of Accounts. Spearheaded team in identifying stock brokers likely to default, thereby preventing significant losses to client assets. Mentored and trained new colleagues by providing understanding of securities regulatory framework in India.