Puneet Kanwar
Gandhinagar
Summary
Experienced professional in AML/KYC, client onboarding, and investigation review within regulated markets. Adept at validating documentation, establishing UBOs, and analyzing alerts from surveillance tools to support risk-based decisions.
Overview
20
20
years of professional experience
Work History
Assistant Vice President-Membership & Regulatory
India International Bullion Exchange IFSC Limited
Gift City
06.2022 - Current
- Facilitated onboarding for jewellers, suppliers, brokers, and members with IIBX, enhancing integration process.
- Conducted due diligence for onboarding members and clients, establishing UBO in compliance with AML KYC guidelines.
- Evaluated alerts from World-Check and Trackwizz to ensure thorough client and member background verification.
- Assessed risk profiles for jewellers and suppliers, including domestic and overseas entities, and reviewed investigation reports for false or misleading information.
- Drafted and revised SOPs and policies for the membership and regulatory department.
- Conducting the audit/inspection of member brokers, ensuring compliance as per exchange & IFSCA guidelines/circulars.
Deputy General Manager-Operations
Dhani Stocks Limited
Gurugram
01.2022 - 05.2022
- Assisting with trade surveillance and risk management processes, including review of suspicious cases and discussion of findings with stakeholders.
- Tracking new SEBI and exchange compliance updates and help related departments remain compliant.
- Supporting compliance reviews with internal teams and market regulation requirements.
- Performing periodic audits to support system compliance.
Senior Manager
DB International Broker
Noida
11.2020 - 01.2022
- Managing the audit/inspection of SEBI/Exchanges, ensuring compliance as per
exchange & SEBI norms. - Reviewing alerts processed by surveillance tool (RTRMS) as in when they are received
and ensuring that the proper course of action is put in place as per SEBI/Exchanges
requirements. - Conducted thorough reviews of compliance for broker transactions. of broker transactions, ensuring adherence to documentation standards.
Deputy Manager
BSE Limited
01.2011 - 02.2017
- Oversaw member compliance with regulatory frameworks established by market regulator and clearing corporation.
- Conducted audits and inspections for member brokers to assess adherence to exchange and SEBI regulations.
- Created inspection reports and MIS to document findings, facilitating effective regulatory follow-up.
- Reviewed KYC, CDD, and EDD documentation for clients to ensure compliance with AML and KYC standards.
- Analyzed large volumes of data during fraud, unauthorized trading, and market abuse investigations to detect manipulation patterns in client dealings and positions.
Manager
Edelweiss Capital Ltd.
07.2008 - 12.2011
- Provided strategic advisory services to HNI clients, enhancing portfolio management.
- Directed team activities to acquire HNI clients, increasing client base.
Relationship Manager
Indiabulls Securities Private Limited
Delhi
05.2006 - 06.2008
- Facilitated acquisition of HNI clients while managing client portfolios to enhance customer satisfaction.
- Engaged proactively with clients to consistently meet monthly revenue goals.
Education
PGDBM - Finance & Marketing
IIPM
New Delhi05-2006
Bachelor of Computer Applications - Computers
Himachal Pradesh University
Himachal Pradesh03-2004
Skills
- IFSC compliance and AML KYC
- Team handling
- Policy development
- Regulatory reporting
- Risk management
- Audit inspection
- Client onboarding
- Due diligence
- MIS reporting
- Stakeholder engagement
- Issue resolution
- Issue resolution
Timeline
Assistant Vice President-Membership & Regulatory
India International Bullion Exchange IFSC Limited
06.2022 - Current
Deputy General Manager-Operations
Dhani Stocks Limited
01.2022 - 05.2022
Senior Manager
DB International Broker
11.2020 - 01.2022
Deputy Manager
BSE Limited
01.2011 - 02.2017
Manager
Edelweiss Capital Ltd.
07.2008 - 12.2011
Relationship Manager
Indiabulls Securities Private Limited
05.2006 - 06.2008
PGDBM - Finance & Marketing
IIPM
Bachelor of Computer Applications - Computers
Himachal Pradesh University