Summary
Overview
Work History
Education
Skills
Accomplishments
Languages
Timeline
Generic
PRADNYA PINTO

PRADNYA PINTO

Mumbai

Summary

Decisive and result-oriented professional with over 20 years of diverse experience in the Indian Banking and financial services industry. My career spans branch banking, HNI client servicing and leading a team in Member compliance at a leading stock exchange. I bring a strong track record in developing efficient compliance frameworks, driving strategic training initiatives, and enhancing customer satisfaction. With a deep understanding of regulatory requirements and capital markets, I excel at client onboarding, stakeholder engagement, and delivering high standards of service and governance.

Overview

24
24
years of professional experience

Work History

Chief Manager - Member Compliance

National Stock Exchange Ltd
09.2022 - Current
  • Oversee regulatory compliance of Trading Members in accordance with SEBI regulations, NSE bye-laws, and Exchange circulars.
  • Ensure timely review and analysis of compliance submissions by Members, and enforcement of disciplinary actions where required.
  • Act as a primary liaison between NSE and Trading Members for compliance-related queries, regulatory clarifications, and audit responses.
  • Conducted training and guidance sessions for Members on evolving compliance expectations, regulatory updates, and Exchange circulars.
  • Collaborated with SEBI, and other Exchanges to harmonize compliance enforcement practices and regulatory expectations across the market infrastructure.
  • Contributed to the formulation and periodic revision of internal policies, SOPs and regulatory processes related to Member Compliance.
  • Ensure timely closure of audit and inspection observations and internal compliance reviews.
  • Represented the Exchange in industry consultations and regulatory working groups, provided operational feedback on draft policy initiatives such as "Revision of Networth Framework", "Empanelment of Back-office Vendors", "Authorised Persons supervision and monitoring" etc.
  • Led cross-functional initiatives for automation and process enhancements, including key initiatives such as the "Know Your Broker" and "Authorised Persons Inspection Reporting.
  • Conducted joint inspection with SEBI to investigate technical glitches trading members, reviewed system processes and helped prepare the initial observation report highlighting key control gaps and risk areas.

Assistant Vice President

Credit Suisse Services India Pvt Ltd
12.2021 - 09.2022
  • Delivered premium client servicing to UHNI clients, coordinating with global teams to ensure seamless execution and tailored wealth solutions.

Assistant Vice President

360 ONE WAM Limited
05.2015 - 11.2021
  • Provided dedicated client servicing to HNI/UHNI clients, supporting wealth managers in execution, reporting, and ensuring a high-quality client experience.

Service Relationship Manager

Kotak Wealth Management
04.2013 - 05.2015
  • Managed a portfolio of HNI clients, focusing on relationship deepening, investment servicing, and high-touch engagement across banking and investment needs.

Service Manager - Branch Banking

Kotak Mahindra Bank Ltd
02.2011 - 03.2013
  • Handled branch operations and customer servicing, ensuring smooth delivery of banking products and enhancing customer experience.

Personal Banker Authorizer

HDFC Bank Ltd
02.2008 - 02.2011
  • Managed day-to-day branch banking functions, focusing on sales support, customer relationship management, and service quality.

Senior Officer

ICICI Bank Ltd
02.2005 - 02.2008
  • Oversaw retail banking activities, including account servicing, cross-selling financial products, and maintaining compliance in branch operations.
  • Five S Champion for one of the flagship branch i.e. Powai Branch.

Customer Finance Advisor

3 Global Services (India) Pvt Ltd
06.2003 - 02.2005
  • Managed and resolved billing disputes by coordinating with cross-functional teams, ensuring timely corrections and maintaining high customer satisfaction.

Graduate Trainee - Retail Branch Banking

Centurion Bank Ltd
06.2001 - 06.2003
  • Underwent comprehensive training in retail banking operations, gaining hands-on experience in customer service, cash management, and basic banking processes.

Education

MBA -

Mumbai University
Mumbai
2009

B.COM -

Mumbai University
Mumbai
2001

H.S.C -

Mumbai University
Mumbai
1998

S.S.C -

Mumbai Board
Mumbai
1996

Skills

  • Compliance Management
  • Stakeholder Management
  • Training Programs
  • Eye to details
  • Client Centric
  • Team Management

Accomplishments

    1. Guest Lecturer- Served as a guest lecturer for NISM PGDM students focusing on Member Compliance.

    2. Nominated for National level "Service Excellence Award" in March 2011 for averting three consecutive frauds in a month.

    3. Nominated by Nodal Officer to interact with RBI Auditor for ISO 10002 certification in "Compliants Management".

Languages

English
Bilingual or Proficient (C2)
Marathi
Bilingual or Proficient (C2)
Hindi
Bilingual or Proficient (C2)

Timeline

Chief Manager - Member Compliance

National Stock Exchange Ltd
09.2022 - Current

Assistant Vice President

Credit Suisse Services India Pvt Ltd
12.2021 - 09.2022

Assistant Vice President

360 ONE WAM Limited
05.2015 - 11.2021

Service Relationship Manager

Kotak Wealth Management
04.2013 - 05.2015

Service Manager - Branch Banking

Kotak Mahindra Bank Ltd
02.2011 - 03.2013

Personal Banker Authorizer

HDFC Bank Ltd
02.2008 - 02.2011

Senior Officer

ICICI Bank Ltd
02.2005 - 02.2008

Customer Finance Advisor

3 Global Services (India) Pvt Ltd
06.2003 - 02.2005

Graduate Trainee - Retail Branch Banking

Centurion Bank Ltd
06.2001 - 06.2003

MBA -

Mumbai University

B.COM -

Mumbai University

H.S.C -

Mumbai University

S.S.C -

Mumbai Board
PRADNYA PINTO