Swathi Nair

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.

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.

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%