Summary
Overview
Work History
Education
Skills
Certification
Coursework
Hometown
Personal Information
Extracurricular Activities
Timeline
Generic

Akshay Chavan

Mumbai

Summary

Ambitious and self-motivated individual with 5.6 years of professional experience in a challenging work environment which may allow me to utilise my technical skills and contribute in a broad way to the organisation.

Overview

10
10
years of professional experience
1
1
Certification

Work History

Assistant Manager

Bombay Stock Exchange Limited ( BSE )
06.2021 - Current

Inspection of Investment Advisors (IA) and Research Analysts (RA):

  • Providing the (PIQ) Pre-inspection questionnaire to IAs and RAs and obtaining the same for conducting the onsite inspection
  • Coordinate with IAs and RAs to obtain the pending documents from IAs and RAs to complete inspection on time
  • Preparing and analysis of Inspection reports as per SEBI regulation
  • Follow up with IAs and RAs for post Inspection queries and resolving the same over calls and emails
  • Sending Preliminary observation report to IAs and RAs for seeking their comments on inspection observation and sharing the same with SEBI for post Inspection process
  • Seeking approval from SEBI for issuing action taken letter to RIAs
  • Maintaining Inspection MIS and sending the same to SEBI as per SEBI requirement
  • Conducting surprise onsite visit to all registered IAs and RAs under SEBI Intimation
  • Follow up with internal departments for additional requirement from SEBI
  • Software development for smooth functioning of inspections


Exchange Compliance Department:

  • Ensure adherence to SECC Regulations, SEBI circulars, Exchange rules issued from time to time
  • Interpret and communicate regulatory changes and updates to relevant stakeholders within the organization
  • Develop and implement compliance programs and procedures to mitigate regulatory risks and enhance the exchange's compliance framework
  • Convening of Statutory Committee meetings
  • Discussions with SEBI and other MII's on compliance matters
  • Prepare and submit regulatory reports, disclosures, and filings to relevant regulatory authorities in a timely and accurate manner
  • Maintain comprehensive records of compliance activities for audit and review purposes
  • Generate regular compliance reports and metrics to assess the effectiveness of compliance initiatives and inform decision-making processes
  • Collaborate with regulatory authorities in conduct of Exchange inspections


Offline Surveillance Department:

  • Carrying out analysis and Investigation of suspected companies
  • Monitoring, reviewing and reporting suspicious activities in securities market
  • Enhancing market integrity and safeguarding interest of investors by taking surveillance actions
  • Ensure proper compliance of the orders issued by the regulatory authorities viz
  • SEBI, SAT NCLT, etc
  • Display pro-activities and take responsibility with regards to the withholding of the funds/shares in case of manipulation observed in the market
  • Withhold payout of funds/securities of the investors in the case of fraud or abnormal trading activities observed in the market
  • Create Management information reports on a periodic basis
  • Develop, design and implement new reports to assist with the Firm keeping pace with the evolving Regulatory environment
  • Replying to queries raised by Regulatory authorities
  • Draft circulars related to action taken by Regulatory authority

Senior Executive

L and T Financial Services
09.2018 - 09.2019
  • Evaluating, Authorizing and Recommending Approvals for home loans are the major duties
  • Work on financing the resale as well as to approved project funding along with the builder
  • Handling the leads from the builder channels
  • Balancing the transfer and top up cases

Audit Executive

S Panse & Co. (A CA Firm)
07.2014 - 08.2015
  • To keep check on day-to-day key operations of AMC such as, deals entered into with Brokers, daily NAV, money market operations, etc
  • Daily Limit Monitoring of securities of Money Market, Debt, Equity, Derivatives instruments which are regulated by SEBI for Mutual Fund Investment
  • To keep internal check of daily transactions and other verifications simultaneously with Compliance team and if error found then reporting it to Operations team as well as Compliance team for rectification
  • Checking of documents such as Deal tickets or counterparty Confirmation and maintaining records of these documents

Education

MBA - Finance

Lala Lajpatrai Institute of Management
03.2018

Bachelor - Commerce

Bhavan's College of Commerce
05.2014

Higher Secondary School -

Mumbai University
06.2011

Secondary School -

Maharashtra Board
06.2009

Skills

  • Collaborations & relationship building with team members
  • Strong communication skills, including written, oral, and interpersonal
  • Adaptability to given situations
  • Working under stringent time lines
  • Critical thinking, decision making, and evaluation skills, and attention to small details

Certification

NISM-Series-XII: Securities Markets Foundation Certification

Coursework

  • Financial Management
  • Securities Analysis and Portfolio Management
  • Derivatives

Hometown

Worli, Mumbai. Maharashtra

Personal Information

  • Date of Birth: 12/21/93
  • Nationality: Indian

Extracurricular Activities

Cricket Tournaments Swimming Bike Rides

Timeline

Assistant Manager

Bombay Stock Exchange Limited ( BSE )
06.2021 - Current

Senior Executive

L and T Financial Services
09.2018 - 09.2019

Audit Executive

S Panse & Co. (A CA Firm)
07.2014 - 08.2015

Bachelor - Commerce

Bhavan's College of Commerce

Higher Secondary School -

Mumbai University

Secondary School -

Maharashtra Board
NISM-Series-XII: Securities Markets Foundation Certification

MBA - Finance

Lala Lajpatrai Institute of Management
Akshay Chavan