Finance Capital Markets Compliance Risk
CHAITANYA MANDLIK
Shah Kapadia & Associates
Mumbai,Maharashtra
2
Years of experience
3
Language
Finance professional with 1.5+ years of experience in securities-market compliance auditing, promoted from Audit Executive to Audit Associate in February 2026 . Experienced in Authorized Person audits, SEBI/NSE/BSE compliance, risk and control assessment, audit reporting, MIS and capital-market operations. BMS graduate specializing in Finance with working knowledge of MS Excel, data analysis and financial markets. Seeking opportunities across finance, capital markets, compliance, risk and financial operations.
Work History
Audit Associate
8 Months- Promoted from Audit Executive in October 2025 with increased responsibility for compliance audit execution, review and reporting.
- Conduct compliance audits of Authorized Persons associated with stockbrokers and evaluate adherence to applicable regulatory requirements.
- Review regulatory documentation, registrations, agreements, investor-related records and operational processes.
- Identify compliance gaps, assess risk and prepare detailed audit observations and reports.
- Review compliance with applicable SEBI, NSE and BSE requirements and incorporate regulatory circular updates into audit procedures.
- Coordinate with Authorized Persons and internal teams to obtain documents, clarifications and corrective information.
- Conduct audits for clients associated with major brokerage firms including Nuvama, Angel One, Anand Rathi and Religare.
- Prepare and maintain MIS reports using MS Excel, including audit status, observations and follow-up information.
- Review observations relating to unauthorized activities, password confidentiality, investor communication, trading practices and operational controls.
Audit Executive
11 Months- Started professional career in compliance auditing, supporting Authorized Person audits, documentation review, regulatory checks, audit observations, reporting and MIS preparation.
- Executed pan-India physical audits of leading brokerage firms, including Angel One LLFL, Nuvama, Motilal Oswal, and Religare, with coverage across 20+ states, ensuring adherence to audit, documentation, and compliance requirements.
Education
B.M.S - Finance
GPA: 8.57/10
Skills
Compliance Auditing
Capital Markets
SEBI Regulations
Risk & Control Assessment
Audit Planning & Execution
Audit Reporting
Financial Analysis
MIS Reporting
MS Excel
Data Analysis
Data Visualization
Regulatory Review
Documentation & Record Review
Stakeholder Coordination
MS Excel | MS Office | MIS Reporting | Data Analysis | Data Visualization
ADDITIONAL INFORMATION
Languages: English | Hindi | Marathi
Hobbies and Interests
Travelling & Exploring New Places, Cooking & Culinary Exploration, tracking
Timeline
Audit Associate
Shah Kapadia & Associates
02.2026 - CurrentRead More
Audit Executive
Shah Kapadia & Associates
02.2025 - 01.2026Read More
B. K. Birla College of Arts, Science & Commerce
B.M.S from Finance
Read More