Framing policy, SOPs, creating new alerts, identification of new typology, preparing GOS, STR, filing of STR, reviewing thresholds, implementation of policy, etc

• Heading Operations of DP, Billing and Receivable Management of DP, KYC (Account Opening and Modification) of DP• Ensuring all units of DP Operations functions efficiently• Developing policies, processes• Developing controls over different units of DP• Resolving queries of stake holder(s)• Identification of Gaps and plugging it through necessary controls and processes• To ensure compliance with local Regulatory requirement, circulars as well as Group requirement• Handling Regulatory Inspections• Handling and resolving the alerts received from Regulators• Governing Regulatory Submissions like RAT, Regulatory Inspection, Tariff Submission, AI/ML reporting etc. from DP Operation perspective.• Checking IAR• System development, enhancement to comply with Regulatory requirements, build necessary checks through system, etc• Checking of DR functionality at Regular intervals• Developing and Testing of Business Continuity Plan• Monitoring team performance• Responsible for generation of all reports and MIS for entire DP Unit• Ensuring client communication as defined in DOI• Computing and monitoring doubtful clients defaulting DP Dues.• Managing and onboarding of different vendors• Ensure and given inputs to meet the budget.• Business Impact Analysis of the systems i.e. being used by the DP• System user verifications at regular interval to check unauthorized access• Mitigation plan to manage Risk• Co-ordinating with Depositories• Improvise process and policies to enhance its effect on various measure like faster TAT, reducing errors or rejections etc.• Training to the teams• Checking the process and controls as per DOI of the unit• Preparation of periodical MIS• Passing necessary entries for adjustments of provision and sundry income• Reconciliation of standing instruction and POAs updated in the system• Identifying the ageing of client and sending closure, recovery and suspension notices to the client• Identifying the Gaps in processes.

DP & Commodity Audits HandledBank Audits HandledCorporate Audits HandledSYNOPSIS: Conducted inspection of NSDL – CDSL Depository Operations as an auditor since 2004. Conducted Internal as well as Concurrent Audit of Centurion Bank of Punjab and, it’s five branches, independently covering CDSL as well as NSDL Operations since 2005 as an auditor. Completed successfully 16 Depository Participant Audit, as an empanelled auditor of CDSL, inclusive of Audit of Vadodara Stock Exchange.  Simultaneously, doing Concurrent Audit of UTI Securities Ltd., covering all the aspects and areas of the Depository Operation since 2006 as an auditor. Experience of conducting the Investigation Audit in UTI Securities Ltd. Done Concurrent and Internal Audit of Dimensional Securities, Mukesh Babu Securities, Suresh Rathi Securities, Motilal Oswal, etc. Worked on Different Software like D’bos, DP Secure (CMC), etc. Conducted different type of bank audits i.e. concurrent, statutory, revenue, foreign exchange and stock audit for the banks like Union Bank of India, Andhra Bank, Centurion Bank of Punjab, Central Bank of India, Punjab National Bank, Bank of India, Akola Urban Co-op Bank Ltd. (All Branches), Karur Vyasya Bank Ltd., etc.