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Back Office Operations

Mumbai, Maharashtra, India
as per company norms
February 12, 2018

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+91 989******* / 932*******



A challenging and performance oriented middle management position with a suitable organization, having 14 years experience in Operations & Legal-Compliance in the achievement of organizational goals involving with internal and external departments to ensure smooth operations through honesty, sincerity, smart work and dedication.

Experience in Areas:

Operations & Compliance

Operations & Compliance

Operations & Compliance



Operational Risk

IOM develop, modify.

IGC Complaints

Back office Operations

Train up to team for KYC, AML

Global Operations, Legal Risk & Compliance.

Support to inspection & Audit team.

Follow up laws, rules, regulations of SEBI RBI, IRDA, Exchanges, FEMA

MCA etc.

Team Management.

Surveillance & Risk

Track over back up from VLS

Margin Trading & Risk Management.

Back office processing, Documentation.

KYC & UCC cross checking

CTCL Cross checking - Uploading, mismatches, violations etc.

Demat & Trading A/c processing.

Follow up over Bills & balance dues.

International Banking, CD, RTGS, NEFT,

Forex Operations & Compliance.

Foreign Exchange from INR to USD to Trade in Foreign Currencies.

Deposit & Withdrawal Operations.

Retail operations - Business Banking, Liabilities products & Home Loans

Updating of T&C, KYC, CRF, RDD, MCA etc.

Remittance Operations

Branch Operations & Compliance

Clearing & Settlement

Liaison with Govt. & non Govt. Organizations.

Company Laws, Arbitration, Collection, 138 matters, settlement,

Coordination with all dept. for smooth Operations.

MIS of Operations.

Educational Qualifications:

EMBA From NIBM - 2009.

LLB. From M.S. Law College Cuttack, Utkal University, Odisha - 2006.

M. Phil From Berhampur University, Odisha - 2002.

MA From Berhampur University, Odisha - 2000.

Graduation From Utkal University, Odisha -1998.

DCST (Diploma in Computer Software Technology) from TCIL- IT, New Delhi – 2002.


Work Experience:

EToro Ltd. & SGFX Financial Ltd. : (15th Dec, 2011 till date)

Working as a Senior Manager - Operations. As a responsible employee, assigning the following key responsibilities of global as well as regional operations & compliance.

KYC- follow up, cross checking, addition, rectification, documentation as per the various entities for A/c opening along with support, guide, coach to the team & monitoring of compliance for the same.

AML- Preparation of awareness report for the customer as per PMLA - 2002, documentation, design & monitoring of compliance, training to employees to sharpen their skills, cross checking of suspicious transactions etc.

Handling of back office & middle office operations along with compliance & risk in the process of money exchange from INR to USD to trade in Foreign Currencies, money deposit & withdrawal transactions etc.

Monitoring of compliance as per the laws, rules, regulations & guidelines of FEMA, 1999, CySEC, SEBI & RBI.

Handling of both internal & external operational risk & compliance for the delivery of PMS, HNI & NRI client service.

Responsible for managing various operational strategic & implementation of major and multiple operations units and improvement of plans for the entire operations.

Conducting of regular meetings with the business and compliance to facilitate good communications and resolve KYC remediation.

Effectively manage operational risk and foster an environment whether team is fully aware of operational Risk Management.

Responsible to initiate and lead change management initiatives with the team, assist with recruitment and training process, supervise and manage development of team members and ensure of structured of communication.

Ensuring that whether all adheres to KYC and AML norms at all times. Follow up the circulars of RBI & SEBI for update, amendment & implement of the same.

Keeping track over Deposit & Withdrawal operations & guide for the same over trading in currencies, commodities & indices.

Develop & modify of IOM including all the operational activities of Company, hierarchical structure of organization, planning’s, procedures, responsibilities along with T& C. for smooth operations.

Responsibility to build a strong control & risk management environment ensuring all risks, issues and control gaps are escalated appropriately as per daily procedures.

Responsible to manage & resolve client complaints & queries related to trading in currencies, commodities & indices.

Responsible to provide operational advisory services to corporate & high net-worth customers on fund management while maintaining relationship with Key Accounts.

Responsible for dealing with external and internal auditors and inspections and supporting of documents, records, books of accounts etc. at the time of audit.

Responsible for Team Management, Cost Management, Revenue Generation & fair operational administration.

Supervising Key Areas including overall operations, compliance, legal & Business Development.

As an Operations & Compliance Head of India reporting details to the same activities to the HO, Cyprus.

Submission of revised Documents, Records & Information’s of company to RBI, SEBI, MCA & where ever necessary.

Coordination with sales team regarding A/c opening, documentations, client queries, business development.

Guide to the Operations & Compliance team for preparation/maintain of documentations, records, & support for MIS.

Bonanza Portfolio Ltd. (16thJune, 2010 to 14th Dec, 11)

Worked as a Manager – Operations & Compliance and was handling the following key responsibilities.

Keeping track over operations of A/c opening, KYC & UCC, CTCL etc.

Managing of middle & back office operations & compliance and guide to fair KYC, AML awareness to customer & RDD, MCA, UCC etc. Rectify of the same.

Team Management, cost management, Fair operational Administration, Train up to the operations team to sharpen their skills.

Responsible to follow up over issue of Kit Punching, Bills, balance dues, trade conformation, delivery of ECN & physical contact notes in time after post trade.

Follow up over pay- in, pay-out of funds & securities in the T+2 rolling settlements, clearing, middle office & back office operations etc.

Monitoring compliance of Laws, Rules, Regulations & guide line as per latest circulars of SEBI, RBI, FMC, IRDA, FEMA & Exchanges.

Resolving client complaints comes from ISC & IGRC of NSE, BSE, MCX, SEBI and other Exchanges.

Responsible to resolve general complaints and client complaints, other complaints of company & overall operational administrations.

Collection of debits, resolve, settlement of the same matters between the client and trading member, handling of Arbitration & 138 - Negotiable Instruments matters.

Handling of entire operational risk, legal & compliance and corporate law matters coordinating with concern depts. for smooth operations.

Employment: -India Infoline Ltd. (5th Jan, 07 to 15th June, 10)

India Infoline Ltd. is one stop financial services shop most respected for quality of its advice, personalize service technology. It’s listed both of the leading stock Exchanges of India.

Job Profile:

Worked as an Asst. Manager - Operations & Compliance and was assigning the following key responsibilities.

Operations & Compliance of equity, commodities, insurance etc.

KYC, operations, A/c opening, verify documents & forms for A/c opening as per the entities. Guide & control over demat & trading account opening.

Responsible to resolve the KYC, UCC queries received from NSE, BSE.

Compliance of laws, rules, regulations & notifications as per SEBI/NSE/BSE.

Examine and initiate action on correspondences complaint received from regulatory authorities. Attending at NSE/BSE for arbitration & settlement matters.

Submit periodic reports to the Exchanges and SEBI.

Follow up over CTCL, UCC details (mismatches, uploading, violations etc.)

Responsible to resolve the investor complaints and reply of the same to NSE/BSE /SEBI/NSDL&CDSL.

Provide leadership, support, guidance and coaching to the team for KYC, AML,UCC.

Responsibility of branch compliance, Sub-broker registration and overall compliance.

Responsible for Clearing & settlement of funds &securities of all segments under the rolling cycles of T+2 pay-in, pay-out process.

Employment: -INDIA BULLS SECURITIES LTD. (16th May, 05 to 3rd Jan, 07)

Indiabulls Securities Ltd. is a public company and listed on the National Stock Exchange, Bombay Stock Exchange, Luxembourg Stock Exchange and London Stock Exchange, which offers a full range of financial services and products ranging from equities to insurance.

Job Profile: -Worked as an Officer - Operations & Compliance with Indiabulls Securities Ltd. As a responsible employee I have been assigning the following activities.

As per the latest circulars of NSE, BSE & SEBI implementation of rules and regulations over all department.

Follow up of KYC, AML, UCC, RDD etc. during A/c opening& overall operations.

Responsible for monitoring the compliance of the Acts, rules and regulations, notifications, guidelines, instructions etc issued by SEBI.

As an officer of operation & compliance immediately reports to Compliance Head when I observe any non-compliance.

Monitoring the calls of trading hours & taking the back up of all calls weekly.

Cross checking of client confirmation given by dealers during the trading hour.

Informing all official matters to Head Office regarding compliance & any violation by employees.

Responsible for sending Various reports to H.O. like NEAT, BOLT, ODIN user details, dealers status, daily trading reports, walk-in client reports, back-up reports, order authentication reports, trade books etc. on periodic basis.

Keeping watch dog over dealers regarding punching orders, client confirmation, filling up trade books, margin calls etc. also over back-office for client ledger, bills, balance dues, documentation for account opening.

Employment: ICICI Home Finance Co. Ltd. (1st March, 2003 to 30th April, 2005)

Company Profile: ICICI Home Finance Co. Ltd. was a Part of ICICI Bank Ltd, the second largest bank in India.

Job Profile: Worked as a Jr. Officer - Credit Operations.

As a responsible employee with a purpose of setting enviable standards I have been assigning the following key activities in the field of Home Loans & Business Banking.

Responsibility of Sanction processes along with Ded-Up, FI (Field Investigation) of Clients. Preparation of Sanction Deviation Letters (L2, L3 etc.) & Final Sanction Letters for disbursement.

In the field of sanction I was doing the following activities:

Checking of Application form filled by the applicant, Photograph & AF cheque.

Checking of age proof, Job confirmation proof, address & income proof etc.

Checking of latest salary slip & bank statements. Checking the business proof, IT return proof etc.

Calculation of eligibility as per the above proofs, tenures & as per monthly salary /income. Support for MIS & inform to the HO.

Regularly updating data’s related to Home Loans & Business Banking.

Checking of Legal &Technical forms & approve the same from Legal & technical offices/ depts.

Responsible for Business Banking documentation in relations to home loans, liability products - CASA, demat A/C etc, cross checking, rectification of the same.

As per NDC list rectify of all the dockets for quick disbursement.

Responsibility to rectify the sanction deviations with details for approval of loan.

Personal Details

Date of Birth : 2nd May, 1977.

Language Known : English, Hindi, Oriya, Bengali.

Hobbies : Reading, Working, Yoga – Meditation.

Address : Flat No.B/501, Sukuru Residency,

G.B.Road. Thane – (w)

Passport : Available.

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