Shoeb Hakim

Current

Franchise- Legal and Complaince - at Way2Wealth Securities Private Limited

Education

University of Mumbai
Aptech Computer Education
Welingkar Institute of Management

Recommended

3 people have recommended Shoeb

Connections

143 connections

Industry

Financial Services

Shoeb Hakim’s Summary

Management position in the Operations dept where I can effectively utilize my over 8 year's expertise in legal
and compliance, broking operations in the achievement of the organizational goals.

Shoeb Hakim’s Specialties:

Legal & Compliance:
Statutory Compliances
Arbitration
Audit and Inspection
Agreement Vetting Legal Documentation
Operations:
Sub broker Registration
Surveillance & Risk
DP Operations
DP Account Opening
Back office processing

NBFC Operations:
Legal Operations
NBFC Compliance
IPO Funding
ESOP Funding
Commodities Funding

IT & Information Security:
Firewall Log analysis.
Employee Surveillance.
Software designing & testing.
Internet/Intranet

Shoeb Hakim’s Experience

Franchise- Legal and Complaince -

Way2Wealth Securities Private Limited

(Privately Held; Financial Services industry)

November 2009 — Present (2 months)

Monitoring mechanism to be in place for all processes related to Franchise and Sub Broker.

Co-ordinate with the respective branch manager/ franchisee – on pan India for Legal requirements regarding SEBI documentations and submission observations.

Interacting with the Franchise / Branches in resolving their Queries related to sub-broker registration and other Developments.