Compliance officer - Sharad Agarwal broking services Pvt Ltd - Mumbai
(2024-01)
Terminal handling (NEST/ODIN/NOW etc.), client dealing, order execution, compliance reporting, exchange knowledge (NSE)
- Ensured timely and accurate compliance with regulatory requirements including daily holdings uploads and security short position reporting
- Oversaw end-to-end processes for Demat account closures, share transfers (including inter-depository), and early pay-ins
- Managed trade settlements across various segments: normal, trade-to-trade, and auction trades
- Handled all aspects of share pledging, repledging, and unpledging in accordance with depository norms
- Executed efficient and timely pay-in and payout of shares, maintaining accuracy and adherence to settlement timelines
- Executed regulatory reporting across daily, monthly, quarterly, and annual timelines, ensuring timely and accurate submissions
- Supported settlement cycles including pay-in/pay-out processes, reducing risk of operational delays and mismatches
- Monitored RMS and collateral exposure to maintain risk controls across client positions
- Assisted in AML monitoring and surveillance processes, supporting compliance with regulatory requirements
- Managed Depository Participant (DP) compliance and reporting workflows
- Coordinated with internal teams to ensure smooth execution of regulatory filings and operational processes
- Prepared compliance reports and maintained accurate records for internal and external audits
