EXPERIENCE
2023 - Present
PARTNER
SHANKAR RAMESH & CO LLP
I specialize in assisting stock market intermediaries, including stock brokers, portfolio managers, investment advisors, research analysts, and depository participants, in navigating complex regulatory frameworks. From SEBI registration to ongoing compliance management, I provide end-to-end support to ensure regulatory adherence and operational efficiency.
I lead internal, concurrent, and system audits, ensuring compliance with SEBI, Exchange, and Depository regulations. My role involves policy drafting, risk assessment, and managing regulatory inspections. Additionally, I conduct concurrent audits r SME IPO processes, ensuring allotment as per prevailing regulations. Through strategic advisory and compliance solutions, I help market participants maintain transparency, efficiency, and sustainability.
My work also included conducting in-depth financial reviews and participating in statutory audits, delivering actionable insights to enhance financial health and adherence to regulations.
2022 - 2023
MANAGER
National Commodity & Derivatives Exchange Ltd. (NCDEX)
While working with NCDEX, I conducted thorough inspections and audits of exchange members, resolving compliance issues. Collaborating with SEBI, I mitigated regulatory risks through joint investigations.
I designed and implemented inspection frameworks and checklists to standardize and improve audit quality, and drafted detailed inspection reports that highlighted key findings while recommending actionable solutions to enhance member compliance.
Additionally, I organized and conducted compliance workshops and training sessions for exchange members, fostering awareness and adherence to the latest regulatory updates.
2019 - 2022
ASSISTANT MANAGER
Motilal Oswal Financial Services Limited
While working with Motilal Oswal Financial Services Limited, I played a key role in implementing comprehensive compliance processes, identifying risks, and strengthening governance frameworks. I significantly enhanced the organization’s risk management framework by conducting detailed audits of critical areas. I identified potential risks and non-compliance issues, providing detailed recommendations to mitigate these and strengthen internal controls.
My responsibilities included managing inspections and regulatory audits, ensuring full adherence to requirements and minimizing compliance risks. I also implemented periodic reviews and reporting mechanisms, streamlining processes and improving operational efficiency. Collaborating with cross-functional teams, I contributed to establishing and enforcing robust internal control mechanisms.