 Taking member ship with various Exchanges  The registration of Sub Broker/Authorized Person Registrations. Filing of ACR / Annual Return, to various Stock / Commodity Exchange(s) & SEBI, within the time period. Draft various Agreements, which shall include Franchisee Agreement/ Lease Agreement/Settlement Agreement  Redress Investor Grievances,  Filing of Resolutions / Returns and other Statutory Compliances,as contemplated under the Companies Act of 1956. Convene regular meetings and prepare minutes of the PMLA Committee Coordinate with various departments and to collate requisite details, for the conduct of inspection by various Exchanges / SEBI / CDSL and also to assist the Internal Auditor / Inspection team. Ensure prompt issuance of Contract Notes / margin Statements / holding statements etc to the Clients and such other documents, as may be required by the Exchange(s) / SEBI / CDSL, from time to time. Carry out training sessions for the Staff / Investors, about Money laundering and their obligation related to Anti money laundering. provide various reports in connection with the PML Act, including reporting of suspicious transactions to the top management, as per Regulatory requirements. overall responsibility of managing TSS software, including updation and also liason with the solution providers, of PMLA software.  continuously monitor the transactions of Clients and to take appropriate action based on the alerts generated through TSS software or other risk management system, in consultation with the Compliance officer.  Assist the Compliance Officer / Alternative Compliance Officer, in carrying out various regulatory requirements, as contemplated under SEBI / Exchange(s) Rules & Regulations.

 Oversee all day-to-day operations of the branch to ensure team is regularly exceeding goals set  Conducted regular monitoring and measurement of branch’s performance and spending providing regular reports to our Corporate and Business Development teams Lead on-the-ground business development and marketing efforts for the Branch  Collaborated across departments and communities of practice to ensure our client’s strategic, financial, and organizational needs are met and small development learnings are shared Used a relationship driven approach to maintaining long-term relationships with high potential, scaling small business clients Actively supported business development efforts to attract new clients and expand existing relationships Managed a talented team of traders; responsible for hiring, performance management, individual guidance, and professional development Attend morning, evening, and weekend events, as necessary, in the interest of strengthening partnerships and business development efforts.