Abhishek V
Bangalore
Summary
Implement my skills and ideas at work that add value and lead to the growth of the organization, in the process of building the organization’s trust to give me higher responsibilities and challenging job roles.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Equity Dealer
Geojit Financial Services Ltd
Bangalore
06.2025 - Current
- Equity dealing (placing orders on behalf of clients)
- Giving market updates and suggesting recommended stocks to buy (as preferred from HO)
- Attending walk-in clients
- Client meeting
- Opening accounts both in-house demat accounts & B2B
- Fixing appointments
- Operations
Senior Executive
BgSE Financials Limited
06.2023 - 03.2025
- Verifying account opening applications both offline & online (online MEON)
- Post verification uploading files in NSDL/CDSL through DPS for client ID creation
- UCC uploading (NSE, BSE & MCX)
- Sending permitted clients list to systems on daily basis, post demat account activation
- Sending welcome letter emails to clients
- Registering F&O segment & MCX as on when receive the request from clients, subject to the company policy (6 months bank statement, ITR & on the basis of holdings)
- Verifying & releasing re-kyc documents in NSDL (modifications & DDPI)
- Closure of trading accounts as on when receives the closure forms. Closing codes in NSE & BSE post dues confirmations from clearing & settlement team
- Attending clients day to day queries through emails, phone calls & in person
- Taking care of record keeping
- Regular follow-up with AP’s/clients for any discrepancy in the documents
Executive Legal & Compliance
Way2Wealth Brokers Private Limited
06.2016 - 03.2023
- Company Overview: Group Company of M/s. Way2Wealth Brokers Private Limited
- Daily checking SEBI, exchanges & depositories circulars and implementing for day to day operations
- Resolving all the day to day exchanges & depositories queries
- Working for registration, renewal & activation documents for (membership registration with exchanges, DP registration with depositories, AMFI registration) working as per checklist provided by the respective authorities
- Uploading Authorised person (sub brokers) documents to respective exchanges for authorized person registration (collecting documents from franchisee coordinator’s as prescribed by exchanges)
- Preparing branch rental agreements (registration/renewal)
- Explaining about PMLA guidelines to branch/franchisee & collecting signed order placing request letter from high value clients (customer acceptance policy) as specified from FIU-IND
- Adhere code of conduct as specified from SEBI
- Drafting mutual funds & AIF agreements (for tie-up with various AMC’s)
- Drafting sub syndicate members agreements (for IPO)
- Doing EUIN registration & renewal (employee unique identification number issued from CAMS)
- Primary compliance involves Conforming to a rule, policy, standard or law & working under the specific timeline as prescribed by the regulators
- Reporting of brokers bank balances to all exchanges on T+1 basis
- Reporting clients securities & fund balances to exchanges on T+1 basis
- Preparing & submission of BOG (Beneficial owner grievances reports to NSDL & CDSL in compliance with NSDL & CDSL regulations, on or before 10th of every month
- Submission of PMS compliance report to SEBI in compliance with SEBI regulations, on or before 07th of every month
- Preparing & submission of half yearly risk assessment template to NSDL & CDSL in compliance with NSDL & CDSL regulations, within two months after completion of every half year
- Preparing & submission of PMS yearly compliance report & disclosure documents in compliance with SEBI regulations, within two months & six months after completion of every financial year (corporate governance, firm level performance)
- Submission of half yearly internal audit reports to NSE, BSE, MCX & NCDEX in compliance with exchange regulations, within two months after completion of every half year
- Replying to clients grievances on or before 30 days resolve all the queries
- Coordinating with internal auditors for queries/observations raised from exchanges/depositories
- Sending reply as specified timeline to respective exchanges/depositories
- Submission of clients holding statements to respective exchanges in compliance with exchange regulations, weekly submission to exchanges
- Preparing & submission of half yearly submission of compliance certificates to NSLD & CDSL in compliance with NSDL & CDSL regulations, within two months after completion of every half year
- Yearly submission of annual declaration of self-certification to AMFI in compliance with AMFI regulations, within three months after completion of every FY
- Preparing & submission of documents to SEBI & exchanges for change in directors (designated & non-designated director) in compliance with exchange regulations, for change in designated director need to take prior approval from exchange & for change in non-designated director need to do the compliance within 15 days from the date of appointment (comply the requirement of exchanges within the specific timeline)
- Preparing & submission of documents to SEBI, exchanges, depositories & other authorities for change in compliance officer in compliance with SEBI, exchange & depositories regulations, within timeline post appointment
- Preparing & submission of documents for empanelment within the specific timeline of institutions
- Preparing & submission of undertakings, affidavit & other documents as per exchange requirement within the specific timeline of exchange requirement
- Closing surveillance alerts in compliance with exchange regulations, within the specific timeline
- During inspection conducted from SEBI, exchanges & depositories collecting necessary documents from respective inter departments & coordinating with inspecting authority & submission of the necessary data to authority
- Research Analysts annual audit coordinating with auditors for completion of annual audit in compliance with SEBI regulations within three months after completion of every FY
- Submission of annual return to all exchanges in compliance with exchange regulations, on or before 30th September after completion of FY
- Group Company of M/s. Way2Wealth Brokers Private Limited
Accounting and Audit Assistant
Shriram Chits (K) Private Limited
12.2013 - 02.2016
- Prepare, analyze and verify annual reports, financial statements, Balance Sheet and other records.
- Bank Concurrent Audit
- Daily Petty cash preparation
Education
BCom -
Gulbarga University
01.2018
PUC -
Pre-University Education Board, Karnataka
01.2011
SSLC -
State Board Karnataka
01.2009
Skills
- MSExcel
- Equity dealing
- Compliance management
- Customer relationship management
- Client onboarding processes
- Effective communication
- Problem solving
- Time management
- Regulatory compliance awareness
- Ethical conduct and integrity
- Order execution efficiency
- Reporting skills
- MSOffice
- Fast learner and adapt well to change
Certification
- NISM-Series III-A Securities Intermediaries Compliance
- NISM-Series-VI Depository Operations
Disclaimer
I do hereby confirm that the information given above is true to the best of my knowledge.
Languages
- Kannada
- English
- Hindi
Personal Information
- Father's Name: I V Prasad
- Mother's Name: Swarnalatha
- Date of Birth: 11/16/93
- Marital Status: single
Timeline
Equity Dealer
Geojit Financial Services Ltd
06.2025 - Current
Senior Executive
BgSE Financials Limited
06.2023 - 03.2025
Executive Legal & Compliance
Way2Wealth Brokers Private Limited
06.2016 - 03.2023
Accounting and Audit Assistant
Shriram Chits (K) Private Limited
12.2013 - 02.2016
BCom -
Gulbarga University
PUC -
Pre-University Education Board, Karnataka
SSLC -
State Board Karnataka
Similar Profiles
Shalini SasiShalini Sasi
Executive at Geojit Financial Services Pvt. Ltd.Executive at Geojit Financial Services Pvt. Ltd.
Smita JollySmita Jolly
Authorised Person at Geojit Financial ServicesAuthorised Person at Geojit Financial Services
Devadarsan K PDevadarsan K P
Customer Experience Specialist – Executive at Geojit Financial ServicesCustomer Experience Specialist – Executive at Geojit Financial Services
Anil Kumar SawAnil Kumar Saw
Staff Engineer at Altimetrik India Pvt. LtdStaff Engineer at Altimetrik India Pvt. Ltd
Hisham ParveezHisham Parveez
AI Engineer at Optimum SolutionsAI Engineer at Optimum Solutions