Compliance Officer and MLRO

• Apr 2022 - Present

Senior Associate

• Oct 2020 - Mar 2022

Lighthouse Canton is a Singapore based investment management firm with offices in Dubai and India. It offers both asset management capabilities across public and private markets, as well as wealth advisory services to an international client base of accredited private clients and institutional investors.Currently heading the compliance operation of the business in India.

Manager (Compliance)

• Jun 2016 - Sep 2020

Salient responsibility: • Drafting and updating compliance related policies and procedures. • Assist in the implementation of established policy and procedure. • Client onboarding and continuity related compliance. • Periodic statutory filing with the regulator. • Implementation of regulatory guidelines and internal controls. • Setting up new business line. • Resolving queries of all stakeholders. • Resolving grievance of the clients. • Drafting and vetting business agreements. • Liaison with SEBI, Exchange, Depository and Auditors. • Conducting Compliance Training. Show less

Assistant Manager (Department of Broker Supervision)

• Jul 2013 - Jun 2016

• As a part of Exchange Supervision team I am assigned with the responsibility of stock broker inspection/ audit in accordance with SEBI guidelines and Exchange bye-laws. • Based out in Kolkata (the regional office of the organization), I carry out inspection of Stock Brokers complete Eastern Region of the country consisting of more than 100 active stock brokers. • Inspection is carried out for various segments made available by Exchange i.e., Cash, Equity Derivative, Currency Derivative, Interest Rate Derivative and SME. • Process of inspection begins with scheduling of inspection and continuous coordination with Compliance officer or Directors of respective broking firms for time bound completion of the same which is followed by analyzing the observations brought out during the course of inspection, thereafter preparing and filling elaborate report to Senior Management. A summary of which in turn is sent to SEBI. • During analyzing huge data is dealt with to determine any trading patterns, mis-utilisation of funds and securities. Various advance functions of MS Excel such as Macro and VBA is utilized for the same. • A regular inspection consists of verification of all the aspects of stock broking business on a sample basis. • Other than regular inspection; special inspection are carried out under the direct guidance of SEBI to identify market manipulation activity such as circular trading, Long Term Capital Gain (LTCG) etc. • Other than daily flow of information with Senior Management during normal course of operation, weekly and monthly MIS report is submitted. • Along with above stated core activity I am also entrusted with the responsibility of resolving broker’s day-to-day query with regard to various operational and compliance functions such as KYC, internal audit, client code modification, client funding, trading terminals, PMLA, FATCA or any other query related to recent issued circulars of Exchange and Regulator. Show less

Management Intern

• Apr 2012 - May 2012

As a part of MBA curriculum I had the privilege of doing my summer internship one of the most reputed PSU Bank in the country. At the Pune Corporate Office of the Bank I worked on the project “Foreign Currency Borrowing by Indian Corporates” for which I was awarded a score of 4 out of 5. The scope of the project was as follows: • To study and analyse various Instruments available with Indian Corporates for Foreign Currency Borrowing. • To study and analyse hedging practice followed by Indian Corporates. • To study pros and cons related to Foreign Currency Borrowing. Show less

Business Editor (Intern)

• Feb 2012 - Mar 2012

As fresher during my MBA course, I was provided with opportunity to gain corporate exposure by Interning in one of the largest news agency in the country as a Business Editor cum Reporter and the scope of work included but was not limited to the following: • Field Work: Attending various press conference and events • Filing Reports within stipulated time frame. • Preparing new reports and editing existing reports. As fresher during my MBA course, I was provided with opportunity to gain corporate exposure by Interning in one of the largest news agency in the country as a Business Editor cum Reporter and the scope of work included but was not limited to the following: • Field Work: Attending various press conference and events • Filing Reports within stipulated time frame. • Preparing new reports and editing existing reports.