
Franchise- Legal and Complaince - at Way2Wealth Securities Private Limited
India

Franchise- Legal and Complaince - at Way2Wealth Securities Private Limited
India
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.
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
(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.
New technologies, Long drives, Web Designing, Music, Computers, Internet (minus chatting)
1st Dan Black Belt in Tae-Kwon-Do
Represented Maharashtra at State Level