Samjoel Premkumar

Experience

• 

  Navia Markets

  Jul 2022 - now

  Compliance Executive

  • Ensured compliance of KYC guidelines followed in opening of account by operations team and KYC Audit presentation to the management. • Ensured Enhanced Supervision submission and taking care of timely Reporting submissions (SOH, CCE) related to Exchanges. Checking the data of reporting through different aspects and identify the problems in the data part of reporting.• Performed Internal Audit to identify potential compliance issues and discrepancies and report them to the Compliance Manager.• Assisted in providing compliance-related documentation, reports, and correspondence for audit inspections. • Re validation of BOD & Short Allocation process performed by accounts team. • Clean debit follow-ups of clients on weekly basis to ensure the debits are closed on the ledger.• Responsible for handling clients grievance and ensure the tickets are resolved on the same day. • Provided support for the implementation/changes in the circular from various stock exchanges in order to ensure compliance with relevant stakeholders. Show less