Amita Sandeep Rajput
Thane West
Summary
Dynamic compliance professional with extensive experience at Sharekhan Limited, excelling in regulatory reporting and audit management. Proven ability to liaise effectively across departments, ensuring timely submissions and adherence to compliance standards. Skilled in MS Excel and collaborative teamwork, I thrive in challenging environments, consistently delivering results and enhancing operational efficiency.
Overview
2026
2026
years of professional experience
1
1
Certification
Work History
Deputy Manager
Sharekhan Limited
08.2022 - Current
- Managing Regulatory reporting, and Exchange Inspections includes liaising with Inter departments, validating data, providing data to the auditor or inspection official, and replying on to the queries/observations to conclude the audit.
- Regulatory Reporting
- Monthly Regulatory Report
- Quarterly STPI reporting
- Quarterly Settlement Reporting
- QSB Weekly/Monthly/Quarterly / Half yearly reporting
- Annual Return
- Inspection & Audit
- Half Yearly Internal Audit Broking & DP
- Exchange Inspection
- Research Analyst Audit
- Management Audit (HR/Admin/Finance)
- Offsite Queries -Margin, NCL buy, Segregation, Qty Settlement
- Letter of Observation
- Queries from Exchange’s / DP
- Circular dissemination and Implementation.
- Liaising with Exchange
- Department: Compliance – Inspection, Audit & Surveillance
Manager
Anand Rathi Share & Stock Brokers Limited
03.2019 - 08.2022
- Handling Inspections carried out by exchanges and DP- Verification and submission of data as required within defined timelines.
- Half Yearly Internal Audit Broking and DP
- Offsite queries
- Surveillance/ Show cause notice and Adjudicating Orders- Addressing and replying to the same within defined timelines
- Monthly regulatory Submission
- Quarterly Submission
- Annual Returns
- Authorised Person reporting / queries
- Branch / AP visit
- Department: Inspection and Surveillance
Manager
Prithvi Broking Private Limited
11.2011 - 11.2017
- Exchange Submission -Daily/Monthly/quarterly/annually compliance submission to the Exchange/SEBI/RBI
- Circulars Update - Daily check / MIS - circulars issues by various authorities / Regulators and update them to concerned departments keep a check on necessary implementation
- PMLA –
- EOD Files upload of trade files data to PMLA software and generate reports
- Highlight the suspicious transaction to the management.
- Due Diligence / Follow up if any documentary Requirement from client for the trades done.
- STR / CTR Reporting to FIU
- Monthly MIS on Alerts generated
- Co-ordination with the Exchange/SEBI/RBI for Compliance issues.
- Exchange Inspection –
- Co-ordination with the Exchange/Regulatory bodies and Internal departments Timely Submission of Data to Exchange
- Resolve queries during inspection
- Internal Audits –
- Co-ordination with all the departments to gather require data
- Submit verified data to Internal Auditor
- Timely submission of Audit Report to concerned Exchange
- Reply to all exchange queries reading client surveillance
- NBFC back office process for trading as well as bank account opening
- ROC – New Company Formation/Submissions to ROC after co-ordination with CS. All annual submission to ROC
- Monthly Report Submission – PMS
- Quarterly / Annual Submission of RBI – NBFC Reporting
- Enhanced Reporting
- Department: Compliance
Associate
HSBC Investsmart
11.2008 - 04.2010
- Compliance related to Sub Broker / Franchisee / Master Franchisee /Branches registration
- Co-ordination with Branch/Sub broker/Franchisee registration to Exchange
- Branch/ Franchisee set up/ terminal allocation, post registration compliance. Tracking franchisee.
- MIS on number of Sub Broker Registered/ Rejected/approved/ cancelled by exchange
- Co-ordination with Branch/Sub Broker/Franchisee
- Department: Compliance
Executive
LKP Shares & Securities Limited
01.2006 - 09.2008
- Trading & Demat account opening process
- UCC Update to Exchange
- MIS On account opening
- Sub Broker Registration
- Daily Circulars to Internal Departments
- Co-ordination with Branch/Sub Broker/Franchisee
- Department: Compliance
Legal Executive
HDIL
- Handling SRA Project with co-ordination with MHAHA and Other local authorities.
- Complete Paper work to society registration and handover
- MIS preparation
- Liaisoning with Govt offices.
- Department: Compliance
Education
Bachelor in Legal Science (BLS) -
Government Law College
XII - Arts
RK Talreja College
UlhasnagarX -
S V Joshi High School
DombivaliSkills
- MS Office, Excel, PowerPoint, Word
- Collaborative working
- Quick learner
- Confident and open to challenge
Certification
- NISM-Series-V-A: Mutual Fund Distributors Certification Examination.
- NISM-Series-VII: Securities Operations & Risk Management.
- NISM-Series-III-A: Securities Intermediaries Compliance -Non Fund Exam
- NISM-Series-VI: Depository Operations Certification Examination.
Languages
English, Marathi, Hindi and Gujrati
Hobbies and Interests
Travelling and music.
Timeline
Deputy Manager
Sharekhan Limited
08.2022 - Current
Manager
Anand Rathi Share & Stock Brokers Limited
03.2019 - 08.2022
Manager
Prithvi Broking Private Limited
11.2011 - 11.2017
Associate
HSBC Investsmart
11.2008 - 04.2010
Executive
LKP Shares & Securities Limited
01.2006 - 09.2008
Legal Executive
HDIL
Bachelor in Legal Science (BLS) -
Government Law College
XII - Arts
RK Talreja College
X -
S V Joshi High School
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