Vijay Dabi
New Delhi
Summary
Compliance and Operations Manager with 20 years of experience in regulatory compliance and operations management within financial services. Expertise in conducting audits, managing franchisee relationships, and ensuring compliance with SEBI and Exchange regulations. Skilled in driving operational excellence and resolving client grievances while leading teams to achieve high-quality outcomes. Committed to leveraging extensive experience to support organizational growth and success.
Overview
27
27
years of professional experience
1
1
Certification
Work History
Assistant Manager-RMS & Compliance
Algoquant Fintech Limited.
Delhii
09.2024 - Current
- Ensure strict compliance with SEBI and Exchange regulations, submitting timely reports to the NSE/BSE.
- Monitor and respond to surveillance alerts and investor grievances, ensuring resolution within deadlines.
- Manage audits, including concurrent and internal audits, and assist during NSE/BSE inspections.
- Oversee franchisee agreements, AP registration, and franchisee code generation in compliance systems.
- Margin Monitoring.
- Holding Reconciliation.
- Traders' Payouts Reconciliation
- Key Achievements: Improved reporting efficiency by 15% through process automation and enhanced supervision submissions.
Manager-Compliance
RS Wealth Management Pvt. Ltd.
New Delhi
02.2023 - 09.2024
- Ensure strict compliance with SEBI and Exchange regulations, submitting timely reports to NSE/BSE.
- Monitor and respond to surveillance alerts and investor grievances, ensuring resolution within deadlines.
- Manage audits, including concurrent and internal audits, and assist during NSE/BSE inspections.
- Oversee franchisee agreements, AP registration, and franchisee code generation in compliance systems.
- Key Achievements: Improved reporting efficiency by 15% through process automation and enhanced supervision submissions.
Manager-Operations/Finance
Incremint Wealth Pvt. Ltd.
New Delhi
08.2021 - 01.2023
- Spearheaded financial operations, including invoicing, banking reconciliations, and collections management.
- Implemented an efficient communication system for payment reminders, reducing outstanding payments by 20%.
- Prepared detailed MIS reports for dues, brokerage, and project updates to facilitate decision-making.
- Key Achievements: Reduced invoice processing time by 25% by streamlining workflows.
Manager-Franchisee Registration and Support Operations
Sumpoorna Portafolio Ltd.
Noida
01.2011 - 12.2020
- Coordinated with over 200 franchisees for sub-broker registrations, ensuring smooth execution of compliance processes.
- Developed and maintained MIS reports on weekly/monthly metrics for compliance and operational performance.
- Resolved 95% of branch and franchisee queries within 24 hours by improving query handling protocols.
- Key Achievements: Enhanced franchisee registration accuracy by implementing detailed verification processes.
Assistant Manager-Compliance
Fairwealth Securities Pvt. Ltd.
Noida
01.2008 - 12.2011
- Managed sub-broker and remisier registrations and monitored compliance across all branches.
- Oversaw voice logger installations and maintained quality checks for audit readiness.
- Key Achievements: Achieved 100% compliance adherence during SEBI audits for three consecutive years.
Assistant Manager-Compliance
Indiabulls Securities Ltd.
Gurgaon
01.2006 - 12.2008
- Monitored compliance for both online and offline branches, ensuring adherence to SEBI regulations.
- Created weekly and monthly compliance reports, streamlining coordination between regional offices.
- Key Achievements: Improved compliance tracking accuracy through enhanced MIS systems.
Back Support Executive
North Delhi Power Ltd.
Delhi
01.2003 - 12.2006
- Managed meter reading schedules, billing reconciliations, and MIS reporting for 12 districts.
- Coordinated with agencies to process bills and maintain data accuracy for consumer records.
Billing Officer cum Accounts Assistant
Cummins Auto Services Ltd.
Gurgaon
01.2001 - 12.2003
- Conducted bank reconciliations, maintained accounting records, and addressed customer queries.
Accounts Assistant cum Cashier
Ram Mohan Financial & Chit Fund Pvt. Ltd.
Delhi
01.1999 - 12.2001
- Handled cash management, reconciliations, and accounting using Tally.
Education
Bachelor of Commerce (B.Com) -
Satyawati College, University of Delhi
01.1998
12th (CBSE) -
Delhi01.1995
10th (CBSE) -
Delhi01.1993
Skills
- Regulatory compliance (SEBI, NSE, BSE, MCX)
- Audit management (internal, concurrent, NSE/BSE inspections)
- Financial reporting and analysis
- Team leadership and coordination
- Mis reporting and data analysis
- Branch activation and AP registration and management
- Record management and reconciliation
- MS Excel
- MS Word
- Tally ERP
Certification
NISM Services VIII (Equity Derivative)
Place
New Delhi, Delhi
Timeline
Assistant Manager-RMS & Compliance
Algoquant Fintech Limited.
09.2024 - Current
Manager-Compliance
RS Wealth Management Pvt. Ltd.
02.2023 - 09.2024
Manager-Operations/Finance
Incremint Wealth Pvt. Ltd.
08.2021 - 01.2023
Manager-Franchisee Registration and Support Operations
Sumpoorna Portafolio Ltd.
01.2011 - 12.2020
Assistant Manager-Compliance
Fairwealth Securities Pvt. Ltd.
01.2008 - 12.2011
Assistant Manager-Compliance
Indiabulls Securities Ltd.
01.2006 - 12.2008
Back Support Executive
North Delhi Power Ltd.
01.2003 - 12.2006
Billing Officer cum Accounts Assistant
Cummins Auto Services Ltd.
01.2001 - 12.2003
Accounts Assistant cum Cashier
Ram Mohan Financial & Chit Fund Pvt. Ltd.
01.1999 - 12.2001
Bachelor of Commerce (B.Com) -
Satyawati College, University of Delhi