Yashwant Singh

I am a self motivated, enthusiastic and hard working person. I am an Economics graduate and also did MBA in Financial Management. I have successfully completed the "NISM- Series-III-A-Compliance Officer Certification.

At present I am working with Multiplex Capital Limited as a Compliance Officer at New Delhi, where I am using my best skills and proving myself as per their expectation.

Currently working with –Multiplex Capital Limited from February, 2011 to Till date as aCompliance Officer at New Delhi. Multiplex Capital Limited is Member of NSE, BSE, MSEI, MCX, NCDEX, NSDL, CDSL.

Presently I am looking after following activities:

1. Replying to SEBI, Exchanges/Depository queries day to day basis.
2. Quarterly / Half Yearly /Annual Compliances related to SEBI and Exchanges(BSE/NSE/MSEI/MCX/NCDEX,CDSL,NSDL)
3. Prepare internal and system audit report as per the norm of SEBI and Exchanges (BSE/NSE/MSEI/MCX/NCDEX,CDSL,NSDL)
4. Responsible to make and review various policies within organization (PMLA, Internal control system etc.)
5. Handling compliance issues relateddocuments, client settlement
6. Responsible to handle and resolve Client Grievances
7. Supervising client registration process
8. Follow up of SEBI rules and regulations and any necessary changes in the same by keeping track with BSE/NSE/MSEI/MCX/NCDEX,CDSL,NSDL
9. Keeping track of Exchange Notices (BSE/NSE/MSEI/MCX/NCDEX,CDSL,NSDL) and any updates
10. Implementing latest procedures and processes within the org.
11. Coordinating with different departments in streamlining the operations
12. Reporting and coordinating on a daily basis with the management
13. Handling compliances & inspections of SEBI,BSE/NSE/MSEI/MCX/NCDEX,CDSL,NSDL etc.

Educational Qualifications

Did B.A.-Economics(Hons).

Professional Qualifications:

Did MBA in Financial Management

Did NISM–Series IIIA- Compliance Officer - Module

Did NISM-Series VI-Depository Operations Certificate-Module.

CDSL Trained