Pratibha (Kokane)

Experience

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  Edelweiss Securities Ltd

  Dec 2007 - Jun 2010

  Junior associate – Compliance & Trade Surveillance

  Daily analysis & investigation of alerts generated by reports across Equities, Derivatives, Commodity and Currency covering Market Abuse and Insider Dealing Designing and implementing Risk Management & Surveillance plans for investing suspicious activities like Circular Trading, Front Running, Anti Money Laundering & Price rigging etc. Analysing and replying to the SEBI queries as and when required.Analysing the SEBI orders on daily basis for the reference of all HODs and director of the company & analysing the past debarred client’s activities and SEBI orders for any further addition in the list of debarred.Generating various Surveillance MIS and analysis such as Turnover & Brokerage MIS, SAST reporting, clients’ volume vs. market volume in Cash, FO, and Currency & Commodity segment on specified time period.Analysing other reports on parameters like Volume creation in top gainer and top loser of the trading day, volumes creation and price distortion in scrip’s with circuits of the day, bulk deals, cross deals in equity and F&O.Participate in the drafting or execution of test scripts related to the User Acceptance Testing related to the implementation of new systems, processes.Monitor market news, orders, amendments to gather appropriate knowledge on market and regulatory developments affecting surveillance of organization. Conducting the inspections and audits of all the branches, sub brokers and authorized persons for EBL, ESL and EFAL, pan India to review and update staff about new compliance norms and AML policy in accordance with regulatory authority circulars and notices. Preparing MIS after inspection for the management for annual review of the branches. Show less

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  Pentad Securities

  Nov 2014 - Dec 2016

  Assistant Manager – Compliance-Trade Surveillance & AML

  To identify & escalate possible market manipulation and possible market abuses being conducted through trading activities in the Cash & FNO.Investigate in depth matters identified with a minimum level of supervision to determine whether violations of exchange rulesScrutiny of Scenario based AML alerts in accordance with Regulatory guidelinesProduce surveillance reports/AML Reports and analysis within the standard turnaround time with proper documentation and reporting of findings of alerts investigations, follow-ups and escalations.Assist in the periodic review of surveillance program or process to address control and risk areasAll regulatory submissions wrt Exchanges, SEBI and other regulatory bodies.Allotment and uploading of CTCL / IML and Pro Trading Ids and Periodic reconciliation of certificate (NCFM/All BSE’s Certificates)Analysis, distribution and implementation of Regulatory circulars/notification/Regulations etc.Conduct internal audit of the organisation and submitting the report thereof.Assistance in development & Implementation of organisation policies and procedures. Show less

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  Investmentz

  Dec 2016 - now

  Compliance Manager

  Compliance -Analysis, distribution and implementation of Regulatory circulars/notification/Regulations etc. of exchanges, SEBI and other regulatory bodies.Handling Regulatory Registration process like NPS,PFRDA,IRDA ,MCX,queries and followup with regulator for registration processAll regulatory submissions wrt Exchanges, SEBI and other regulatory bodies.Conduct internal audit of the organisation and submitting the report thereof. Handling BSE/NSE inspections.Certified Internal Auditor for Quality Management System as per ISO 9001-2015 by SGS.Handling queries received from various regulator/ stock exchanges/clients arising from time to time in respect to Compliances with SEBI, ExchangeDevelopment & Implementation of organisation policies and proceduresTrade Surveillance - Handling all activities related to Trade Surveillance. Show less