Himanshu Rajpal

Experience

• 

  HCL Enterprise

  Mar 2015 - Oct 2015

  Fund Analyst

  • Worked as part of the Investor Portfolio Services team managing assets worth INR 500M for high net-worth individuals.• Performed daily NAV calculations for client mutual fund portfolios with 50+ funds to enable data-driven investment decisions.• Executed month-end reconciliations between internal and client records, ensuring 100% accuracy in asset reporting.• Assisted relationship managers in compiling portfolio performance reports and financial plans for clients.• Liaised with fund accountants to resolve NAV computation discrepancies through root cause analysis.• Monitored portfolio movements to identify trades resulting in NAV deviations above pre-set thresholds.• Completed mandatory internal certifications on equity research and portfolio management, enhancing financial acumen. Show less

• 

  NSE India

  Oct 2015 - May 2024

  • Conducted trading member inspections, ensuring adherence to market regulations and security standards• Led inspection report creation and presented findings to leadership, driving accountability within member firms• Monitored daily share price movements through surveillance systems, generating reports that enabled action on irregularities• Managed member compliance requirements by assisting with submission processes and providing regulatory guidance• Partnered with compliance teams and regulators to meet reporting needs, strengthening oversight• Reviewed 100+ periodic alerts generated by surveillance systems to identify significant price and volume changes• Compiled and analyzed daily reports on market activities, keeping leadership informed of critical monitoring outputs• Verified accuracy of daily beginning and ending of day processing reports for timely issue resolution• Performed preliminary investigations on 50+ alerts per week to determine if further action was required• Led in-depth investigations into suspected market manipulation, submitting detailed reports to regulators• Advised trading members on meeting exchange compliance regulations and submission requirements• Coordinated with members for timely and accurate compliance reporting to regulators• Served as subject matter expert for members and regulators on exchange compliance processes Show less • Conducted 150+ stock broker audits uncovering fraud, protecting investor funds with robust SEBI regulation enforcement.• Analyzed complex datasets with 100K+ transactions, guaranteeing financial statement accuracy and transparency.• Safeguarded investor capital through meticulous monitoring of stock broker activities.• Standardized 50+ client onboarding documents by vetting policies, sealing process gaps.• Tracked time-based broker compliances, enabling proactive risk mitigation. Show less

  • Manager – Risk and Regulatory

    Oct 2023 - May 2024

  • Manager – Regulatory Compliance

    Apr 2023 - Oct 2023

  • Deputy Manager - regulatory compliance

    Apr 2018 - Mar 2023

  • Assistant Manager

    Oct 2016 - Mar 2018

  • Management Trainee

    Oct 2015 - Oct 2016
• 

  Globe Capital Market Limited

  May 2024 - now

  Associate Vice President - Legal and compliances