RAVINDRA R. KALVANKAR
Dahisar (East)
Summary
Dynamic and Accomplished Compliance Executive with over 14 years of proven expertise in Regulatory Compliance across stock exchanges and brokerage firms. Demonstrated success in leading cross-functional teams, managing complex compliance operations, and ensuring adherence to regulatory frameworks. Recognized for deep and comprehensive knowledge of the full spectrum of compliance functions within the stock broking industry. Adept at developing strategic solutions, mitigating risks, and fostering a culture of integrity and regulatory excellence.
Overview
14
14
years of professional experience
1
1
Certification
Work History
Assistant Vice President – Compliance
5paisa Capital Limited
06.2025 - Current
- Handling core compliance activities.
Compliance Officer
Espresso Financial Services Private Limited (A Discount Brokerage by Sharekhan Ltd.)
10.2024 - 05.2025
- Ensuring overall compliance, continuous monitoring and implementing regulatory requirements/ changes. Formulating various internal Policies and Procedures. Ensuring timely periodic submissions and filing with SEBI/ Exchanges/ FIU. Handling Inspections, Audits, responses to Exchange/ Depositories queries, Off-site alerts, Surveillance Alerts, Observations Letters, Show Cause Notices. Presenting compliance at Board Meetings.
Sr. Manager Regulatory Compliance
Sharekhan by BNP Paribus
12.2021 - 09.2024
- Ensured local regulatory compliances along with implementation of BNPP policies at local level.
Manager Inspection/ Enforcement Department
BSE LTD. (BOMBAY STOCK EXCHANGE)
08.2019 - 11.2021
- Conducted onsite/ off-site inspections, Preparation and overviewing of the Inspection Reports, Analysing responses, proposing actions on the inspection observations to the competent authorities.
Manager Inspection/ Enforcement Department
Metropolitan Stock Exchange Of India Ltd
12.2011 - 07.2019
- Scheduling of Annual Inspections, conducting onsite/ off-site inspections, Preparation and overviewing of the Inspection Reports, Analysing responses, proposing actions on the inspection observations to the competent authorities.
Education
Company Secretary - CS
ICSI
01.2011
Bachelor of Law - LLB
Mumbai University
01.2007
Bachelor of Commerce -
Mumbai University
01.1999
Skills
- Overseeing day-to-day compliance functions and instrumental in effective handling of various types of audits and inspections by SEBI, Exchanges and Depositories
- Skilled communicator with a collaborative approach, fostering strong inter-departmental and inter-organizational relationships to ensure regulatory alignment
- Results oriented professional with demonstrated capability of effective liaising with regulators such as SEBI, Exchanges, Brokers, Depositories, Banks and other Financial Institutions to ensure seamless and compliant business operations
- Track record of consistently adhering to the regulatory timelines while handling Audits and responding to various SEBI/ Exchanges/ Depositories Observations Letters and Off-site Alerts All critical activities are generally completed in timely manner
Certification
- NISM Series IIIA- Certification for Compliance Officer
- NISM Series VII- Certification for Securities Operation Risks Management
- NISM Series-XIV: Internal Auditors for Stock Brokers Certification Examination
- Certification from NIIT for understanding Information Technology in Corporate environment
References
Available on request
Hobbies and Interests
Photography, Cricket and Music
PREVIOUS EMPLOYER
Worked with Indian Railways in different capacities from January 1997 to December 2011.
Timeline
Assistant Vice President – Compliance
5paisa Capital Limited
06.2025 - Current
Compliance Officer
Espresso Financial Services Private Limited (A Discount Brokerage by Sharekhan Ltd.)
10.2024 - 05.2025
Sr. Manager Regulatory Compliance
Sharekhan by BNP Paribus
12.2021 - 09.2024
Manager Inspection/ Enforcement Department
BSE LTD. (BOMBAY STOCK EXCHANGE)
08.2019 - 11.2021
Manager Inspection/ Enforcement Department
Metropolitan Stock Exchange Of India Ltd
12.2011 - 07.2019
Company Secretary - CS
ICSI
Bachelor of Law - LLB
Mumbai University
Bachelor of Commerce -
Mumbai University
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