Conducted comprehensive on-site and off-site inspections of trading and clearing members to ensure compliance with NSE and SEBI regulations; identified operational, financial, and procedural lapses, and recommended corrective actions.
Managing and overseeing disciplinary actions against stockbrokers, ensuring strict adherence to regulatory frameworks and organizational procedures.
Prepared formal communications for trading members, including show-cause notices and action letters, to enforce regulatory compliance.
Reviewed responses to compliance inquiries and show-cause notices to ensure accurate evaluation and appropriate regulatory action.
Analyzing responses to show-cause notices, letters of observation, and review requests to ensure accurate assessment and appropriate action.
Preparation and consolidation of relevant data, coordination with internal departments, SEBI, internal auditors, and other key stakeholders to facilitate efficient processes.
Collaborating with the legal team on litigation matters and other related tasks to ensure timely and effective resolution of legal issues.
Coordinated with various departments within the Exchange to streamline internal processes and improve system efficiencies.
GST registrations of corporate and non-corporate entities.
Independently prepared GSTR 9 preparation and GSTR 9C of clients having a turnover of more than 50 cr. Like TRX Logistics Private Limited, SRC Fleet Management Services Private Limited has more than 35 crore.
Involved in company incorporation, including handling various cases with respect to compliance with MCA-21 requirements, with the ROC officer in face-to-face interaction.
Filing of annual returns related forms (AOC-4, MGT-7, AOC-4 CFS, MGT-8, MGT-9) and other forms like DIR-3, DIR-3 KYC, CHG-1, CHG-4, ADT-1, INC-22, SH-7, INC-22A, AOC-5, DIR-11, DIR-12, DIR-6, etc.
Article Assistant
APMG and Associates
06.2017 - 06.2020
Conducted statutory and internal audits of private companies.
Preparing TDS, TCS, and other income tax returns, with responses to authorities in various cases, including Sec-148.
Prepared Tax Audit Report and its enclosures based on the clauses of Form 3CD required in furnishing Forms 3CA and 3CB.
Prepared income tax returns for corporate and non-corporate entities, including ITR 1, 2, 3, 4, 5, 6, and 7.
Education
DATA ANYALYICS - PYTHON - DATA ANAYLYTICS
Analytical Edupoint
Saket - Delhi
04.2001 -
CA Final (Both Group) -
ICAI
New Delhi
05-2022
IPCC (Group II) - undefined
ICAI
New Delhi
11-2018
IPCC (Group I) - undefined
ICAI
New Delhi
05-2016
CPT - undefined
ICAI
New Delhi
06-2014
B.COM - undefined
School of Open Learning
New Delhi
01-2017
XII Class - Commerce
Bal Niketan Public School
New Delhi
01-2014
X Class - undefined
Bal Niketan Public School
New Delhi
01-2012
Skills
MS Office
Balance Sheet Preparation Linking with Trial Balance
Tally
SAP
Python
ENIT Portal(NSE)
Timeline
Manager - Regulatory Compliance
National Stock Exchange, NSE
09.2023 - Current
AUDIT ASSITANT
V.YADAV & CO.
12.2022 - 08.2023
Audit Executive
V. Sankar & Aiyar Co.
12.2022 - Current
Article Assistant
APMG and Associates
06.2017 - 06.2020
DATA ANYALYICS - PYTHON - DATA ANAYLYTICS
Analytical Edupoint
04.2001 -
IPCC (Group II) - undefined
ICAI
IPCC (Group I) - undefined
ICAI
CPT - undefined
ICAI
B.COM - undefined
School of Open Learning
XII Class - Commerce
Bal Niketan Public School
X Class - undefined
Bal Niketan Public School
CA Final (Both Group) -
ICAI
INDUSTRY SERVED
STOCK BROKING INDUSTRY (Zerodha Broking Ltd, Globe Capital Pvt Ltd, SMC Global Pvt Ltd, DAM Capital Ltd, etc)
HOTEL INDUSTRY (Jaypee Hotels)
MANUFACTURING INDUSTRY (KSS Abhishek Safety System Private Limited (Seat belt Manufacturer of Maruti Suzuki))
Regulatory Compliance at University of Colorado Denver, Anschutz Medical CampusRegulatory Compliance at University of Colorado Denver, Anschutz Medical Campus
<ul><li>Company Overview: Group Company of PUIG, Spain</li><li>Team Leadership & Process Excellence: Organised the transformation of the Finance & Accounts function, establishing performance-driven goals, and embedding a culture of accountability and continuous improvement. Drove operational efficiency through process redesigns, SOP implementation and optimal resource deployment, leading to measurable improvements in turnaround time and accuracy.</li><li>Strategic Partnering with CXOs: Acted as a key advisor to the CEO, CFO, and other CXOs on business planning, pricing strategies, and business model pivots to support scale-up and profitability. Contributed to investor communications with data-backed insights to enhance stakeholder confidence and secure strategic funding.</li><li>Cross-Functional & Global Stakeholder Management: Functioned as the strategic finance business partner to cross-functional heads and the PUIG global finance team, aligning local execution with global financial strategies and compliance requirements.</li><li>ERP Transformation & System Automation: Led end-to-end ERP reimplementation to address system gaps, enforce role-based controls, and automate core finance processes—resulting in enhanced data accuracy, faster reporting and improved internal controls.</li><li>Costing, Inventory & Profitability Optimization: Designed and implemented plant-level costing models to ensure accurate COGS determination. Improved inventory management across pricing, consumption tracking, and aging analysis—enabling better working capital control and cost efficiency.</li><li>Manufacturing Finance & Statutory Compliance: Supervised end-to-end accounting for manufacturing operations and ensured full statutory compliance.</li><li>Financial Reporting, MIS & Profitability Analytics: Delivered accurate and timely monthly MIS reports, including P&L, Balance Sheet and KPI dashboards with deep-dive variance analysis across stores, business verticals, and geographies. Supported board-level decision-making through insightful presentations on financial health and business performance.</li><li>Budgeting, Forecasting & Business Planning: Led the Annual Operating Plan (AOP) and rolling forecasts, ensuring alignment with strategic objectives and market dynamics. Monitored key financial metrics to enable business decisions and proactive cost management.</li><li>Statutory, Internal & Tax Audit Management: Finalized standalone and consolidated financials under Ind AS and IFRS, ensured timely group reporting and compliance with international standards. Delivered clean and timely closures of statutory, tax, and internal audits in coordination with Big 4 auditors. Strengthened audit readiness through pre-audit diagnostics and rectification of recurring control gaps.</li><li>Regulatory Compliance & Risk Management: Ensured end-to-end compliance which includes ROC, RBI, FEMA, Income Tax, GST, Transfer Pricing, DTAA, and Customs. Reviewed cross-border contracts and transactions to ensure arm’s length pricing, accurate TDS application, and proper documentation under Transfer Pricing regulations.</li><li>Commercial Negotiation & Contract Governance: Led commercial negotiations and structured deals with vendors and franchisees. Reviewed key business contracts to ensure financial viability, risk protection, and compliance with regulatory standards.</li><li>Treasury & External Commercial Borrowing (ECB): Managed fund planning and liquidity management including ECB drawdowns, bank negotiations, and interest optimization. Improved working capital cycles through proactive cash flow forecasting and receivables control.</li><li>Internal Controls & Governance Framework: Led organization-wide reviews of internal control systems, identified process gaps, and redesigned or implemented over 40 SOPs and IFCs. Established a governance structure for financial discipline, risk mitigation, and policy compliance across departments.</li></ul> at Kama Ayurveda Pvt. Ltd. & PUIG India Pvt. Ltd.<ul><li>Company Overview: Group Company of PUIG, Spain</li><li>Team Leadership & Process Excellence: Organised the transformation of the Finance & Accounts function, establishing performance-driven goals, and embedding a culture of accountability and continuous improvement. Drove operational efficiency through process redesigns, SOP implementation and optimal resource deployment, leading to measurable improvements in turnaround time and accuracy.</li><li>Strategic Partnering with CXOs: Acted as a key advisor to the CEO, CFO, and other CXOs on business planning, pricing strategies, and business model pivots to support scale-up and profitability. Contributed to investor communications with data-backed insights to enhance stakeholder confidence and secure strategic funding.</li><li>Cross-Functional & Global Stakeholder Management: Functioned as the strategic finance business partner to cross-functional heads and the PUIG global finance team, aligning local execution with global financial strategies and compliance requirements.</li><li>ERP Transformation & System Automation: Led end-to-end ERP reimplementation to address system gaps, enforce role-based controls, and automate core finance processes—resulting in enhanced data accuracy, faster reporting and improved internal controls.</li><li>Costing, Inventory & Profitability Optimization: Designed and implemented plant-level costing models to ensure accurate COGS determination. Improved inventory management across pricing, consumption tracking, and aging analysis—enabling better working capital control and cost efficiency.</li><li>Manufacturing Finance & Statutory Compliance: Supervised end-to-end accounting for manufacturing operations and ensured full statutory compliance.</li><li>Financial Reporting, MIS & Profitability Analytics: Delivered accurate and timely monthly MIS reports, including P&L, Balance Sheet and KPI dashboards with deep-dive variance analysis across stores, business verticals, and geographies. Supported board-level decision-making through insightful presentations on financial health and business performance.</li><li>Budgeting, Forecasting & Business Planning: Led the Annual Operating Plan (AOP) and rolling forecasts, ensuring alignment with strategic objectives and market dynamics. Monitored key financial metrics to enable business decisions and proactive cost management.</li><li>Statutory, Internal & Tax Audit Management: Finalized standalone and consolidated financials under Ind AS and IFRS, ensured timely group reporting and compliance with international standards. Delivered clean and timely closures of statutory, tax, and internal audits in coordination with Big 4 auditors. Strengthened audit readiness through pre-audit diagnostics and rectification of recurring control gaps.</li><li>Regulatory Compliance & Risk Management: Ensured end-to-end compliance which includes ROC, RBI, FEMA, Income Tax, GST, Transfer Pricing, DTAA, and Customs. Reviewed cross-border contracts and transactions to ensure arm’s length pricing, accurate TDS application, and proper documentation under Transfer Pricing regulations.</li><li>Commercial Negotiation & Contract Governance: Led commercial negotiations and structured deals with vendors and franchisees. Reviewed key business contracts to ensure financial viability, risk protection, and compliance with regulatory standards.</li><li>Treasury & External Commercial Borrowing (ECB): Managed fund planning and liquidity management including ECB drawdowns, bank negotiations, and interest optimization. Improved working capital cycles through proactive cash flow forecasting and receivables control.</li><li>Internal Controls & Governance Framework: Led organization-wide reviews of internal control systems, identified process gaps, and redesigned or implemented over 40 SOPs and IFCs. Established a governance structure for financial discipline, risk mitigation, and policy compliance across departments.</li></ul> at Kama Ayurveda Pvt. Ltd. & PUIG India Pvt. Ltd.