Jyoti Tiwari

Dedicated and detail-oriented Compliance Professional with over 12 years of experience in stock broking compliance, regulatory reporting, audit management, and exchange coordination. Expertise in handling inspections, membership compliances, investor grievance redressal, and regulatory submissions across SEBI, NSE, BSE, MCX, NCDEX, NSDL, and CDSL frameworks. Known for strong documentation, dedicated to work, and proactive stakeholder coordination.

Deputy Manager at National Commodity & Derivatives Exchange Limited (2026-02 – Present)

• Executed end-to-end processing of member shareholding modification requests, including review, validation, and approval; ensured adherence to SEBI regulatory frameworks and internal SOPs; maintained accuracy in system records; and delivered timely support on all shareholding-related member queries.
• Perform reviewer responsibilities for compliance-related changes, including updates to Compliance Officer details, Key Managerial Personnel (KMP) records, and regulatory advertisement requirements.
• Contribute to process improvement by updating and maintaining process manuals in alignment with evolving regulatory guidelines and operational practices.

Assistant Manager at JM Financial Services Limited (2023-03 – 2026-01)

• Coordinated Authorized Person (AP) inspections with exchange-empanelled auditors and internal stakeholders, ensuring seamless execution and compliance preparedness; effectively responded to exchange observations from surprise inspections and managed end-to-end closure of findings.
• Drafted and updated internal policies, Standard Operating Procedures (SOPs), and compliance manuals in line with evolving regulatory requirements.
• Prepared and submitted quarterly AP inspection reports; addressed audit observations and implemented corrective and preventive actions. Monitored implementation timelines for exchange-issued circulars and drove timely compliance through continuous follow-ups with concerned stakeholders.
• Managed regulatory inspections and audits by coordinating data, responding to queries, and ensuring timely closure of observations.
• Liaised with cross-functional teams to ensure organization-wide adherence to compliance standards and regulatory frameworks.
• Prepare and file periodic regulatory reports / returns accurately and within deadlines.
• Reviewed advertisements and obtained exchange approvals while maintaining MIS for tracking approvals and internal communication.
• Managed membership-related regulatory intimations such as changes in Compliance Officer, updates in directors/shareholding, branch operations (openings/closures), and statutory auditor updates.

Compliance Executive at Reliance Securities Limited (2020-12 – 2023-03)

• Monitored and resolved investor complaints via SEBI SCORES, NSE, BSE, MCX, and internal grievance channels.
• Ensured timely acknowledgment, investigation, and resolution within regulatory timelines.
• Submitted key reports: Annual Returns, Networth Certificates, Compliance Certificates, FATF submissions, Cyber Incident Reporting, BOG submissions with CDSL & NSDL.
• Issued Experience Certificates for CPE Training Programs after due diligence.
• Managed membership intimations including director/shareholding changes, DP operation address, compliance officer updates.

Compliance Executive at Bonanza Portfolio Limited (2018-11 – 2020-09)

• Handled CTCL ID allotment and management in line with exchange guidelines.
• Coordinated with exchanges for activation, modification, and deletion of CTCL IDs.
• Managed periodic submissions: Half-yearly Networth, 1% holding, weekly holding statements.
• Oversaw registration and cancellation of Authorized Persons and Sub-Brokers.

Compliance Executive at Comfort Securities Limited (2016-11 – 2017-07)

• Managed CTCL IDs and NEAT IDs.
• Submitted Annual Returns, monthly client funding details, and compliance certificates.

Compliance Executive at Mangal Keshav Group of Companies (2015-04 – 2016-11)

• Registered and cancelled Sub-Brokers and Authorized Persons across exchanges.
• Managed prior approvals and post-intimations for director/shareholding changes.
• Submitted Annual Returns, Risk-Based Supervision reports, and Compliance Certificates.
• Managed CTCL IDs and NEAT IDs.

Compliance Executive at Ajmera Group of Companies (2014-01 – 2015-04)

• Appointment and cancellation of Authorized Persons and Sub-Brokers across NSE & BSE.
• Data Management and submission of required documents for Empanelment Purpose.
• Keeping track for renewal of Bank Guarantee, Fixed Deposit and processing for documents.

Officer at Anand Rathi Group (2012-06 – 2013-12)

• Managed CTCL IDs and NEAT IDs.