Personal Resume ** / B, Madhumangeshkar House,

Abhijit Jayshing Pimpare Bhagwantrao Parelkar Marg,

Parel Village, Mumbai-400012.

Mobile: 989-***-****

E-mail - adl68y@r.postjobfree.com

Date of Birth: 28th Aug 1980.

Education:

Bachelor Degree in Commerce from Mumbai University.(March 2004)

NSE CPE / BCSM (Cash & Derivative) Training & Exam Cleared.

2 Years Diploma in Software from AS COMPUTERS EDUCATIONS.

Personal Specifications/Target achieved:

●Ability to understand the confidential environment of the Investment & Broking.

●Significant experience of working in a senior position within a KYC / AML function, Admin and Operation.

●Strong team management / leadership skills.

●Ability to communicate effectively with other business area contacts to obtain information and resolve issues.

●Ability to effectively document findings through accurate summaries.

●Excellent communication and organizational skills.

●Profound knowledge of data websites and applications.

●Ability to build good relationship with customer.

●Proficient in Microsoft Office –Excel, Adobe Reader, Word and Access.

Professional Experience:

Assistant Manager Admin and Customer Support

SICOMORO ADVISORS PVT LTD, Mumbai

Feb 2021 to till

● Authorize Client master (BSE Star/back office).

●Working with operation Department. (Beginning of the Day / RTA feed files request & upload process)

●Handling Petty cash.

●Interact with third party providers of goods and services.

●Verify vendor’s invoices & payment.

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●Takes charge of utility expenses.

●Keep stock of office supplies and place orders when necessary.

Head KYC / Admin and Customer Support

BP EQUITIES PVT LTD, Mumbai

January 2009 to December 2021

● EKYC process set up.

● CKYC updation set up.

●CVL KRA updation set up.

●Determined requirements and collected information to satisfy client requirements.

●Maintained a comprehensive understanding of the requirements and concepts.

●Developed timely incorporation of any changes issued in Newsletters and via Compliance Bulletins related KYC and account opening operations.

●Planning and strategy of the operational risk management department primarily focusing on: KYC & AML.

●Working with compliance issues including age verification, problem gambling, anti-money laundering, KYC and customer due diligence.

●Dealing with auditors and ensuring regulatory requirements are met.

●Ensuring key security and risk objectives are met and producing reports for senior managers and company directors.

●Set up of Customer Identification requirements and procedures and compiling and analyzing KYC profiles for new customer accounts.

●Evaluating and implementing procedures to reduce fraud at the initial stages of registration (e.g. monitoring incoming registrations, fraud pattern analysis, report analysis etc.)

●Development of customer risk analysis tools and procedures in line with trading analytics strategy as per compliance suggestions.

●Managing and developing a best in class fraud and security team.

●Liaising with 3rd party providers to ensure we have a robust and sophisticated fraud engine.

●Worked with the compliance department for covering the regulatory risks.

●Identified problems and provided solutions, implemented corrective action.

Compliance Executive

BP COMTRADE PVT. LTD, Mumbai

November 2006 – December 2008

●Working In Client Registration & Demat Dep.

●Checking/scrutiny of KYC forms of equities and commodities exchange as per checklist.

●Updating on SEBI Guideline on Customer Acceptance policy, Customer Identification Procedures, Monitoring of Transactions, Risk management and features to be verified and documents that may be obtained from customers.

●Updating the same in Master file of the back office operating system.

●Preparing Welcome Letters.

●Uploading UCC for all exchange/segments and informing the same of RMS department for mapping of CTCL system for trading (BSE, NSE, MCX, NCDEX, and MCX-SX).

●Maintaining record of all account opening forms in both soft and physical form.

●Responsible for managing a team of 4 and overall daily reconciliation of approximate 14 New Accounts.

●Preparing MIS on daily/monthly basis on account opening status.

●Providing new blank KYC forms to branches/sub broker on requirement and keeping the details of the same in excel sheet.

●Updating and maintaining details in back office system regarding any change in client details such as change in address, change in bank details etc. with proof.

●Updating BSE NSE & F&O bill merging.

●Generate dormant a/c file to freeze on monthly basis and Intimate the same to AP & Branches.

●Assisting Compliance and audit department for various exchange inspections.

●Doing A/c Closer process as requested.

●Excellent communication, relationship management & analytical skills.

●Vast Co-Ordinate with Co-ordinators of branches, AP & Franchisees all Over India.

Co-ordinator & Operational Team Leader

SHAREKHAN LTD, Mumbai

May 2004 – October 2006

●Working In A/c Opening Dep of Online KYC’S.

●Verified All Documents Of Individual & Non-Individual Accounts.

●Verified Pan Proofs With Pan Site Of NSDL & IT.

●Co-Ordinate with Compliance & Audit Dep.

●Hard Work with Word, Excel, PowerPoint & Internet.

●Making a MIS of Branches Accounts Opening & Trade Initiation Reports on Monthly Basis.

●Vast Co-Ordinate with Customer-care, Co-ordinators of branches, Power Brokers & Franchises all Over India.

●Generating Login Id, Passwords & Well-Come Kits on Daily Basis.

Ass. Production Officer

FINE JWELLERY INDIA LTD, Mumbai

March 2002 – June 2003

●Quality Checking Of Diamonds & Gold Pieces after Casting.

●Maintain daily & monthly Data of Central Gold Issue Dep Production Report.

●Stock tally on daily basis.

Computer Operator

BALANCE EQUITY BROKING PVT LTD. Mumbai (6 Months)

●Maintain Proofs Records of Clients Proofs on daily Basis.

●Maintain Employees Vouchers on Daily Basis.

15 years total work experience in broking industry.

4.92 lakh Current CTC.

8 lakh expect .

Abhijit J Pimpare

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