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[QUOTE=Guest-IJT;124841][b]Name [/b]: Kiran Panchal [b]Email [/b]: kp300568 AT gmail.com [b]Designation / Skillset[/b] : Senior Post - Risk Management or Backoffice Dept in Stock Broking Company [u][b]Resume[/b][/u] : NCFM, B.com, DFM from N.M. College, 14 Years of experience in stock broking firm ________________________________________ [b]Preferred position [/b]: Senior Position in Risk Management & Backoffice [b]Preferred Sector [/b]: Securities Firms ________________________________________ [b]Preferred Location [/b]: Mumbai A BRIEF OVERVIEW - A dynamic professional with nearly 23+ years of rich experience in stock broking firms. - Worked with Ventura Securities Ltd., a leading Stock Broking Firm with 150 employees for more than 14 years from Back Office Dept Head to RMS Department Head. - Thorough experience in end to end processes involving Risk Management, as well as Backoffice Accounting and Compliance processes KEY SKILLS Risk Management Back Office Compliance Accounts Team Management Training Mentoring of subordinates ORGANISATIONAL DETAILS Ventura Securities Ltd., Mumbai as Compliance Officer From August 1996 to September 2010 Deliverables Risk Management (2003-2008) - Monitoring trading limit for branches / client according to debit /credit balance - Follow up for payment from the branches / client - Preparation of MIS report include trading loss on daily basis - Scrip wise report comparing to market price & percentage wise - Restrict limit on Z group Compliance (2008-2010) - Follow ups of cheque returned cases. - Interaction with the concerned branches / sub-brokers regarding unrealised return cheques. - Issuance of notices under Section 138 of Negotiable Instrument Act to those clients whose accounts have not been regularised pursuant to return of the cheques. - Issuance of legal notice demanding amount outstanding from defaulter client. - Attending to various Cheque Return Cases or arbitration matters. - Interaction with the Advocates regarding Complaints, Summons, Bailable Warrant & Non-Bailable Warrant. - Checking Remisier, Sub-Broker & Authorised Person registration application of BSE & NSE. - Uploading Sub-Broker & Authorised Person application in NSE/BSE. Others (1996-2003) - Preparing MIS report - Day to Day Accounting Procedures - Assisting in preparation & finalization of Balance Sheet - Monitoring Pay in / Payouts, Auction, Bad Delivery, Company objection - Attending to client queries. Notable Highlights Risk Management - Successfully handled risk management for an average of more than 1 Lac accounts - Thorough follow-up across more than 200 branches/ Franchise leading to improved cash flow and preventing over trading. Develop Risk Management System as well as Back office Operation RISK MANAGEMENT TRAININGS - Thoroughly Trained 5 team members over a period of 5years IIT Investrust Ltd., Mumbai as Account Officer May 1987 to August 1996 Deliverables - Preparing MIS report. - Day to Day Accounting entries - Assisting in preparation. & finalization of Balance Sheet - Maintaining the Portfolio of Company SCHOLASTICS 2003 NCFM (Cash Market – Dealers Module) passed with 77% 1996 Diploma in Financial Management from Narsee Monjee College of Commerce and Economics. (Secured 2nd Class) 1987 B. Com. from Burhani College of Commerce & Arts in March 1987 (Secured 2nd Class) IT KNOW HOW [b]Familiar Platforms [/b]: - MS-Office; Software known: - Comtek, Hypersoft & Tally [b]Reference [/b]: Name Designation Contact No. 1. D P Singh Manager 2. Sunil Dhage Company Secreatary I hereby declare that above mentioned information is true and bona fide to the best of my knowledge. Kiran Panchal ------------------------------------------------------- [b]More Information about this submission and submitter [/b]:- ___________________________________________________ [b]Submission ID [/b]: 4298639 [b]Date & Time [/b]: 25th Jun 2011 2:24 PM (UTC) [b]IP Address [/b]: 210.89.52.105 [b]Browser Info [/b]: Mozilla/5.0 (compatible; MSIE 9.0; Windows NT 6.1; Trident/5.0) Predicted Country : India[/QUOTE]
