MAHESH KUMAR KUMAWAT
LACHHMANGARH
Summary
Result-oriented Senior Compliance Manager with expertise in regulatory compliance, risk management, and corporate governance. Skilled in implementing compliance frameworks aligned with SEBI, RBI, and PMLA regulations, with proven ability in AML/KYC monitoring, compliance audits, policy drafting, and regulatory reporting. Adept at leading compliance teams, coordinating with regulators, and ensuring a strong compliance-driven culture.
Overview
3
3
years of professional experience
1
1
Certification
Work History
Senior Compliance Manager
Adroit Financial Services Private Limited
07.2022 - 06.2025
- Designed and implemented a compliance framework aligned with SEBI, RBI, IRDAI, and PMLA regulations.
- Conducted compliance risk assessments, internal audits, and monitoring activities to ensure zero noncompliance.
- Oversaw AML/KYC processes, reviewed suspicious transactions, and reported to FIU-IND as required.
- Prepared and submitted timely regulatory returns, disclosures, and compliance reports.
- Drafted, updated, and enforced internal compliance policies and procedures.
- Coordinated with regulatory bodies during inspections, and ensured smooth closure with no penalties.
- Conducted compliance training and awareness programs for employees and senior management.
- Acted as a key advisor to management on risk mitigation and corporate governance issues.
- Successfully led the compliance team, ensuring effective communication and the implementation of a compliance culture across departments.
- Assisted in developing strategies to reduce potential risks associated with non-compliance activities.
Education
Bachelor of Science - Physics, Chemistry, Mathematics
University Of Rajasthan
Laxmangarh07-2013
Skills
- Compliance framework design
- Regulatory reporting
- AML/KYC oversight
- Risk assessment
- Corporate governance
Certification
- NISM-Series VIII Equity Derivatives Certification
- NISM-Series III A Securities Intermediaries Compliance Non Fund Certification Examination
Languages
Hindi
First Language
English
Elementary (A2)
A2
Timeline
Senior Compliance Manager
Adroit Financial Services Private Limited
07.2022 - 06.2025
Bachelor of Science - Physics, Chemistry, Mathematics
University Of Rajasthan
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