Accomplished Compliance professional having 12+ years of distinguished experience in Capital Market industry / Securities market operations, Regulatory Compliance of SEBI/ Exchanges etc. for Inspection & Audit and Enhanced Supervision of stockbrokers. Exposure to industry best practices in DIS (Department of Investor Services) and Inspection. Specialties:• Handling the IGRC & Arbitration proceedings in a very efficient way to ensure that complaints heard on time.• Doing the 300 approx. Companies for Main board, Revocation of Suspension, and SME listing Inspection and other major prominent cases inspection on timely and submitting the relevant report without any delay failure. • Processing of complaints in SCORES (SEBI Portal) and IDB system to ensure the complaint has been resolved and updated in system timely. Also attended the defaulter member cases carefully and effectively collaborates with other team members. Develops constructive working relationships with internal and external and sharing knowledge, skills and expertise with other team members like in other regional centers.• Regularly meets multiple investors in the matter of defaulter members and always maintain an effective dialogue with clients when they have complex problems and reaching best solutions. Displays a strong work ethic and always promotes a positive team environment.• Demonstrated excellence in effectively supervising the teams & various business vertical. Good experience in working with cross-functional teams.• Efficient in Business Excellence and change management, proficient in implementing customer centric process improvement, Well-organized and systematic with excellent communication, analytical & interpersonal skills and planning abilities.