Anay Prabhu

Experience

• 

  Action Financial Services (India) Limited

  Oct 2014 - Dec 2016

  Check SEBI debarred entities & securities F&O banSend mail of SEBI debarred & ban period download scrip master files from BSE ucc admin & Ftp & upload in CLASS softwaredownload load margin files from BSE ucc & nse ftp software & upload files in CLASS softwarecreate client margin reports & send margin file to the clients from esigner softwaredownload circulars from Bse & Nse sites & send to particular departmentPrint contract bills of clientsverify kyc forms ,check name of clients in Sebi debarred list & watch out investor verify form on citrus & check all scanned details of clientsdownload trade file from BSE UCC & FTPProcessing day to day trades file & generate contract notes send to the clientsUpdate NOME file on both NSE & BSE.Prepare policies for companies – conflict of interest policy, nomination policyAssist company secretary in board meetingUpload forms on MCA website Show less Check SEBI debarred entities & securities F&O banSend mail of SEBI debarred & ban period download scrip master files from BSE ucc admin & Ftp & upload in CLASS softwaredownload load margin files from BSE ucc & nse ftp software & upload files in CLASS softwarecreate client margin reports & send margin file to the clients from esigner softwaredownload circulars from Bse & Nse sites & send to particular departmentPrint contract bills of clientsverify kyc forms ,check name of clients in Sebi debarred list & watch out investor verify form on citrus & check all scanned details of clientsdownload trade file from BSE UCC & FTPProcessing day to day trades file & generate contract notes send to the clientsUpdate NOME file on both NSE & BSE.Prepare policies for companies – conflict of interest policy, nomination policyAssist company secretary in board meetingUpload forms on MCA website Show less

  • Compliance Executive

    Oct 2014 - Dec 2016

  • Compliance Executive

    Oct 2014 - Nov 2015
• 

  LKP Securities Ltd

  Jan 2017 - now

  Handle compliance of all exchanges like NSE,BSE,MCX etc.handle inspections of branches of the company. Assist compliance officer during internal audit.Assist compliance officer during inspections conducted by NSE,BSE,SEBI etc.Have knowledge of generating alert of PMLA Have experience of all Quarterly /Half yearly filling of exchanges.Send Exchange circulars to all departments on daily basis.Approve clients trades in those scrips comes under Exchange surveillance.Assisting Compliance Officer in handling Inspections of All Exchanges.Taking follow up with branches/ Authorised Person/Sub brokers to maintain all data at their places.Handling inspections of branches / Authorised Person/Sub brokers.Assisting Compliance Officer in preparing data as per Exchange Requirements.Continuously taking follow up with Branches to update CTCL Terminals on regular basis.File Quarterly compliance report to all exchanges.Assisting Compliance Officer in filling of Quarterly & Half Yearly reports to the Exchange for e.g. Risk Based Supervision.Prepare & file reply of Notices received from regulators like Income Tax Department, Serious Fraud Investigation Department of MCA.Prepare & submit various agreements of company and sister concern of the company.Assisting in works related to inspections & reporting to managers on daily basis of sister concern of the company. .Issue Designation Proof to Authorised Persons/Sub-brokers/Employee for NISM Certification Examination.Maintain all record of Authorised Persons/Sub-brokers/Employee who attained and clear NISM Certification Examination.Assisting Compliance Officer while conducting trainings on various subjects. Show less

  • Assistant Manager Compliance

    Jan 2017 - now

  • Assistant Manager

    Jan 2017 - Apr 2022
• 

  Finwizard Technology Pvt. Ltd.

  Apr 2022 - now

  • Reply to Surveillance related mails from Regulators• Handle regulatory alerts / internal alerts / PMLA alerts and closure of the same with proper analysis• Knowledge of alerts generation/document maintenance/ reporting of the same• Reporting of Suspicious transaction to FIU/CDSL/Stock exchanges.• Preparation of Quarterly Surveillance MIS for board meeting• Submission of Quarterly surveillance alerts to exchanges/depositories.Submission of Monthly, Quarterly, Half yearly and yearly compliances to respective Exchanges/ Depository/SEBI Show less

  • Senior Compliance Manager

    Jul 2024 - now

  • Compliance Manager

    Apr 2022 - Jul 2024