Summary
Overview
Work History
Education
Skills
Certification
Hobbies and Interests
Languages
Personal Information
Timeline
Generic
Sonam Shinde

Sonam Shinde

Thane

Summary

Dynamic compliance officer with over 7 years of expertise in KYC, Demat operations, and audit inspections. Proven track record in developing evaluation and training initiatives that enhance compliance efficiency. Recognized for integrity and a focused approach, seeking a challenging role that offers long-term career growth opportunities.

Overview

7
7
years of professional experience
1
1
Certification

Work History

Compliance Officer

Sharekhan Limited
Thane
01.2023 - Current
  • Supervise and guide analysts in reviewing brokerage-related materials, ensuring compliance with regulatory standards and internal policies.
  • Evaluate marketing and promotional materials to identify potential regulatory breaches, and provide actionable recommendations.
  • Train team members on regulatory requirements specific to the broking industry, enhancing their ability to assess compliance risks.
  • Handling SEBI, Depository, and Exchange Inspection, Preliminary Observations Reports.
  • Utilize project management tools to track the status and progress of compliance-related tasks and assignments.
  • Participate in internal meetings to discuss regulatory developments and improve compliance review processes.
  • Handled the submission of the internal audit report, internal risk assessment, risk-based supervision, and all quarterly, yearly, and half-yearly submissions of various regulatory reports.
  • Engaging with vendors and CA firms to ensure timely audits are conducted, which are required by regulators.
  • Handling all compliance matters, letters of observation, offsite actions taken report.
  • Collaborate with internal stakeholders to finalize compliance feedback, and provide clear guidance to clients.
  • Handling IT-related submissions, i.e., cyber security audit, system audit report, VAPT, Framework for Adoption of Cloud Service, SaaS, technical glitch, and back office empanelment audit.
  • Review and refine analysts' findings, ensuring accuracy and alignment with regulatory expectations in client deliverables.
  • Customize compliance reviews based on client-specific needs and preferences, maintaining flexibility while adhering to regulations.
  • Manage tight deadlines and prioritize compliance reviews to meet client and regulatory timelines.
  • Having knowledge about how to check all contract notes, retention statements, daily margin statements, and short margin.
  • Tracking and propagating regulatory circulars, developments, and guidelines from SEBI, NSE, BSE, and MCX, and Depositories.
  • Assisting teams in the interpretation and implementation of regulatory directives and various internal policies.
  • Issuance of status report, compliance certificate of all the exchanges.
  • Member changes and renewal (change in compliance and principal officer, change in directors, change in registered officer address), addition of authorized signatories.
  • Coordinated with exchanges regarding all the submissions, circulars.
  • Checking all circulars and notices of all the exchanges.
  • Coordinated with exchanges regarding all the submissions, circulars.
  • Monitoring, ensuring all the regulatory, and other miscellaneous submissions.
  • Handling all the representation of letters of observations, action letters, and penalty reversals.
  • Submission of quarterly settlement reporting, cyber incident report, AI, and ML submission.
  • Preparing the board meeting agenda and presenting it to the management.

Sr. Assistant Manager

Complisec Consulting Private Limited
Thane
12.2021 - 01.2023
  • Daily reporting of collateral segregation.
  • Handled all the compliance related to stock broking, where all the stock broking firms were our clients.
  • Weekly reporting of exchanges enhanced supervision, holding submission, cash, and cash equivalents.
  • Handled SEBI and Exchange Inspections.
  • Handled the submission of the internal audit report, risk-based supervision, and all quarterly, yearly, and half-yearly submissions of various regulatory reports.
  • Assisting teams in the interpretation and implementation of the regulatory directives to clients.
  • Having knowledge about how to check all contract notes, retention statements, daily margin statements, and short margin.
  • Monthly reporting of suspicious transaction reports, Bo grievance, and peak funding.
  • Quarterly Reporting of Artificial Intelligence and Machine Learning, 1% Shareholding.
  • Issuance of status report, compliance certificate of all the exchanges.
  • Provided training to all team members for the new updates of the circular and all the compliance-related work.

Demat Executive

Anugrah Stock Broking PVT. LTD.
Mumbai
04.2018 - 08.2020
  • Corporate action, margin reporting.
  • Pay-out: normal pay-out, direct pay-out, auction pay-out.
  • Stock reconciliation, pledge, and unpledged.
  • Early payment from clients for the buyback process.
  • Pledge and unpledged, sending contract notes.
  • Account closure, dematerialization, modification, retention process, overdue.
  • CUSA off-market payout, beneficiary tally.
  • Prepared self-declaration of banks and AMFI.
  • Empanelment.
  • Authorized Person Registration and Cancellation Process.
  • Renewal and issuance process of all BGs, FDRs, overdraft facilities, and annual account reviews.
  • Handling all operations-related work.

KYC Executive

JM Global Equities PVT. LTD.
Mumbai
09.2017 - 02.2018
  • Handled all procedures of account closure, dematerialization, modification, account opening, KRA, UCC, and share transfer.
  • Delivery Instruction Slip (DIS booklet issue, DIS slips verification in the back office with CDAS, DIS slips reconciliation, and DIS book stocks maintenance.)
  • KRA, UCC, client brokerage, share transfer.
  • Clearing transfer instruction obligation.

Education

Mcom - Accounting & Finance

Mumbai University
01-2020

BAF - Accounting & Finance

Guru Nanak Khalsa College
01.2017

Skills

  • Auditing processes
  • Controls evaluations
  • Data privacy
  • Compliance reviews
  • Reporting requirements
  • Policy analysis
  • Investigations skills
  • Internal audits
  • Audit management
  • Compliance procedures
  • Internal controls
  • Training delivery
  • Project coordination
  • Regulations enforcement
  • Compliance monitoring
  • Stakeholder meetings

Certification

  • NISM VI {Depository Participant}
  • NISM VII {Securities Operation & Risk Management}
  • NISM IIIA {Securities Intermediaries Compliance (Non-Fund)}
  • Well versed with Windows 10 (Including Word, Excel, PowerPoint)
  • Typing course in English (30 & 40 Speed)
  • Tally ERP 9
  • MS CIT
  • MS-Office

Hobbies and Interests

  • Dancing
  • Listening to music
  • Reading story books
  • Learning interesting things
  • Exploring myself

Languages

  • English
  • Marathi
  • Hindi

Personal Information

Date of Birth: 10/09/1996

Timeline

Compliance Officer

Sharekhan Limited
01.2023 - Current

Sr. Assistant Manager

Complisec Consulting Private Limited
12.2021 - 01.2023

Demat Executive

Anugrah Stock Broking PVT. LTD.
04.2018 - 08.2020

KYC Executive

JM Global Equities PVT. LTD.
09.2017 - 02.2018

Mcom - Accounting & Finance

Mumbai University

BAF - Accounting & Finance

Guru Nanak Khalsa College

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Sonam Shinde