Swathi Nair
Banker with 4 years of experience
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About
To obtain a meaningful and challenging position in the corporate world that will enable me to enhance, learn and practice the management skills and also to work enthusiastically with a team to achieve the goals of the organization.
Experience
Organization: NATIONAL STOCK EXCHANGE INDIA LTD
Designation: Associate
Department: Regulatory Compliance
Duration: October 2018 till March 2020.
Job Responsibilities
- Managing the team and maintaining the team’s daily and monthly reports.
Member compliance such as
UCI portal : Updating client details, PPC File, INP file.
Margin Trading Reporting: - Daily Reporting, Verifying of records.
Authorize Person: Registration, Cancellation and Change in Details.
Listing Compliance Such as
Compliance & Announcement: - Corporate Announcement, Corporate Governance, Debt Compliance.
Financial result: - Results (Annual, Quarter, Half yearly), Annual reports.
Investor Grievance
- Assisting them to raise complaint against brokers and companies
- Assisting them in raising claim against the defaulter members.
Education
No
Educational Qualification
College / University
Year of passing
Subject
Marks
1
NCFM (Commercial Banking in
India)
NSE Certificate
2016
Not applicable
70%
2
M Com
(Business Management)
KJ Somaiya College of Science and
Commerce - Mumbai University
2013-15
Not applicable A Grade
3
PGDM(DLP)
Wellingkar Education
2013-15
Banking, Insurance, &
Investment A Grade
4
B Com
KJ Somaiya College of Arts and
Commerce - Mumbai University
2010-13
IT and Tax
77.57%
5
HSC
NES Junior College Mumbai
University
2008-10
Commerce
83.23%
6
SSC
BESE School Mumbai University
2007-08
Not applicable
79.69%
