Stock Market Professional

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Serial No: 14453

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Skills keywords: advance excel, risk management, stock exchange compliance

Short Bio:

Having more than 8 years experience in building relationship with high potential clients/Institutions. Served as Deputy Manager - Membership and Institution Sales - Bombay Stock Exchange Ltd, India. Served as Nodal officer - Compliance & Regulations in the same organisation. conduct inspections, investigations, organised compliance and arbitration meetings. developed relationship with major corporates in India.

Current location:  Tamil Nadu, India - View on map

Nationality: Indian

Preferred Sector of Employment:  Banking Insurance and Financial Services, education and training

Spoken languages: english

Location I am interested in working: Anywhere

Qualifications

Pursuing Ph.D in the area of Capital Market Regulations titled “Investor attitude Vs Regulatory measures for empowering Investors”

Dept of Management Studies and Research, Karpagam University, Coimbatore, Tamil Nadu, India.

MA in Economics 2010
Institutes of Distance Education, University of Madras, Chennai, India

MBA in Finance 2007
Mepco Schlenk Engineering College, Anna University, Chennai, India

Bachelors of Commerce & Computer Application 2004
Sree Narayana Guru College, Bharathiar University, Coimbatore, India

Certifications:

• Certified “Surveillance in Capital Market” conducted by National Stock Exchange of India Ltd
• Certified “Commodities” module conducted by National Stock Exchange of India Ltd
• Certified “Securities Operations & Risk Management” by National Institutes of Securities Markets
• Certified “Equity” & “Derivative” module conducted by National Stock Exchange of India Ltd
• Certified “Econometrics & Simulation application in Financial Market” by BSE Limited
• Certified “Mutual Fund distributor Certification” by National Institutes of Securities Market
• Certified “Currency Derivatives Certification” by National Institutes of Securities Market

Professional Experience

BSE LIMITED Jul ’08 – Aug ‘14
(Formerly known as Bombay Stock Exchange Ltd)
Dy Manager

• Providing advisory support to business units and the management and assisting the compliance functions with designing and performing compliance monitoring and reviews,
• Preparing compliance checklist of applicable regulations and assisting in training on compliance issues and performing surveillance, inspection and investigations
• Authority for accepting/releasing the collaterals (i.e., Bank Guaranteed, Fixed Deposit receipts etc.,) to / from the Trading Member of the Exchange for trade purpose.
• Looking after Surveillance, risk management systems, internal control and internal audit procedures and other areas like Front running, off market Transactions, Investor Grievances and PMLA compliance.
• Organise Investor Grievance Redressel Committee (IGRC) meetings / Arbitration meetings (to resolve disputes between Client and Trading Member) and worked as in charge of (IGRC) / Arbitration for south India: This function entails, Investor complaints/grievances received from SEBI, Stock Exchange and Depositories, Referring them to IGRC panel for redressal.

Other Achievements
• Marketing: This includes bringing new Trading Members to the exchange; provide support to the Trading Members by resolving their queries, build relationship with the members, explaining about new products and strategies of the Exchange to the members.
• Financial Literacy Program (FLP): FLP’s are conducted to create awareness and to educate the Investors about the recent developments, Dos and Don’ts, Day to day operations, products and developments in finance market. We as a team conducted more than 100 FLP’s in various South Indian Cities, Towns. This includes Corporate, Students & General Public.
• Certification Program: BSE Training Institute Limited (Subsidiary of BSE Limited) conducts certifications/programs on various financial products i.e., Cash or Equity, Derivatives, Fundamental Analysis, Technical Analysis, Certification on Financial planning, Depositories and its operations etc., to enable the Trading members to register and operate the Terminals. Also organized and supervised the Exams in various cities of South India.

ADITYA BIRLA MONEY LTD., Coimbatore, India Apr ‘08 – Jun ‘08
Capital Market Dealer

• Was involved in buying and selling shares on behalf of the customers and selling Mutual Funds & IPOs to various customers.
• Was responsible for developing rapport with clients interested in investment opportunities.

SYKES & RAY EQUITIES (I) LTD., Coimbatore, India Aug ‘07 – Feb ‘08
Capital Market Dealer

• Was involved in buying & selling shares on behalf of the customers and selling Mutual Funds & IPOs to various customers.
• Was responsible for developing rapport with clients interested in investment opportunities.

GEE VEE INTERNATIONAL, Tirupur, India May ‘04 – Jun ‘05
Account Assistant