I oversee various departments including, Risk Management, Regulatory Compliance, Operations, Internal audit and Legal

From December 2005)Head of Risk & Compliance & DP operations The responsibilities include online Risk monitoring of Equity, Derivatives, Currency & Commodities segments. Devising Risk containment strategies & processes. Overseeing compliance activities for Stock broking, Commodity broking, Depository participant and Portfolio Management services.Overseeing DP operations Handling Dealing room operations for Equity, Derivatives, Currency & Commodities segments Liaison with IT teams for product launches. Products include Equity Intraday, Futures, Options, Commodities etc. Surveillance on activities like price manipulation, circular trading etc. Monitoring internal control systems and compliance with various rules and regulations of the Exchanges and SEBI. Handling various Legal issues & Customer grievances. Company's single point contact for Exchanges, Depositories, SEBI & other regulatory bodies

Head of Risk, Compliance, Surveillance, Legal, Finance & Accounts The responsibilities include online Risk monitoring of equity and derivatives segment. Devising & implementing Risk containment strategies & processes. Surveillance on activities like price manipulation, circular trading etc. Monitoring internal control systems and compliance with various rules and regulations of the Exchanges and SEBI. Handling all legal issues including drafting of legal agreements, replying to legal notices and interacting with lawyers. Overseeing Fund flows and Investments, finalisation of accounts, budgeting, MIS.

Compliance & Membership DepartmentsHandled Off-line Surveillance, Risk Containment & InspectionsRisk containment through surveillance of the trading activities of the trading members of the Exchange. Surveillance on price rigging, price manipulation, circular trading and introduction of fake/forged/stolen shares. Supervision of inspections of the books of accounts and other operational matters of the trading members to verify their internal control systems and also compliance with various rules and regulations of the Exchange and SEBI.Conducting surprise investigations of trading members.Documentation with regard to membership of new member brokers. Liaison with external agencies like SEBI, Insurance company, Custodians, Clearing Bank and other banks

Conducting Statutory Audits, Tax Audits, Bank Branch Audits, Audits of Financial Institution and Mutual Fund.