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Definition of Reputation Credits
Puneet Kanwar
An experienced professional in Compliance & audit with a demonstrated history of working in the financial services industry.
📱81785 42445
Work Experience
July 2022 - Present
Senior Manager
India International Bullion Exchange IFSC Ltd.
• Heading Membership & Regulatory Department and guiding the team for performing Due Diligence for onboarding members/clients. Establishing UBO for new or existing clients as per AML KYC Guidelines.
• Preparing the framework for inspection of the members and Limited Purpose Trading Members of Exchange.
• Formulation of SOPs and policies related to the Membership & Inspection.
• Risk profiling & assessment of members, jewellers and suppliers (domestic and overseas entities) as per regulations. Reviewing the investigation report in case of false or misleading information provided.
• Ensuring daily work continuity for the Compliance & Surveillance teams, including managing leaves, backups, attrition, etc.
January 2022 - May 2022
Deputy General Manager
Dhani Stocks Ltd.
• Conducting periodic audits to ensure proper compliance with the system. Stay up to date on all new SEBI/Exchange compliance and ensure that all related departments are in compliance.
• Analyzing the transactional alerts (Trackwizz) as in when they are received and ensuring that the proper course of action is put in place as per SEBI/Exchanges requirements.
• Supervision of processes related to Trade Surveillance, Risk management. Analysis and investigation of suspicious cases and discussion of findings with stake holders.
November 2020 - Jan 2022
Senior Manager
DB International Broker
• Reviewing alerts processed by trade surveillance tool (RTRMS) as in when they are received and ensuring that the proper course of action is put in place as per SEBI/Exchanges requirements.
• Managing the audit/inspection of SEBI/Exchanges, ensuring compliance as per exchange & SEBI norms.
January 2011 - February 2017
Deputy Manager
BSE Ltd.
• Conducting the audit/inspection of member brokers, ensuring compliance as per exchange & SEBI norms. Preparing reports and MIS related to inspections.
• Analyzing vast quantities of data during investigations of frauds, unauthorized trading & other market abuse and preparing reports on the dealings/ position of clients, to detect various market manipulation activities.
• Verifying KYC documents, CDD and EDD for clients as per the prescribed AML & KYC guidelines.
• Ensure members’ compliance with the regulatory framework specified by the market regulator/clearing corporation.
July 2008 - December 2010
Manager
Edelweiss Capital Ltd.
• Providing advisory services to PCG clients and handling their portfolios.
May 2006 - June 2008
Relationship Manager
Indiabulls Securities Ltd.
• Managing HNI Clients and providing them with financial services as per their needs.
Education
IIPM
MBA (Finance and Marketing)
2004 - 2006
HPU SHIMLA
Bachelor's in Computer Applications
2001 - 2004
Certification (Covering Compliance, Risk Management, Capital market, Forex, Derivatives,etc.)
- NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification.
- NISM-Series-VI: Depository Operations Certification
- NISM Series VII- Securities Operations and Risk Management Certification.
- NISM Series XIII: Common Derivatives Certification
Other Skills
- Leadership Skills
- Adaptability
- Communication Skills
- Tech Savvy
ssh
Languages
- English — Professional
- Hindi — Professional
Puneet Kanwar
An experienced professional in Compliance & audit with a demonstrated history of working in the financial services industry.
📱81785 42445
Work Experience
July 2022 - Present
Senior Manager
India International Bullion Exchange IFSC Ltd.
• Heading Membership & Regulatory Department and guiding the team for performing Due Diligence for onboarding members/clients. Establishing UBO for new or existing clients as per AML KYC Guidelines.
• Preparing the framework for inspection of the members and Limited Purpose Trading Members of Exchange.
• Formulation of SOPs and policies related to the Membership & Inspection.
• Risk profiling & assessment of members, jewellers and suppliers (domestic and overseas entities) as per regulations. Reviewing the investigation report in case of false or misleading information provided.
• Ensuring daily work continuity for the Compliance & Surveillance teams, including managing leaves, backups, attrition, etc.
January 2022 - May 2022
Deputy General Manager
Dhani Stocks Ltd.
• Conducting periodic audits to ensure proper compliance with the system. Stay up to date on all new SEBI/Exchange compliance and ensure that all related departments are in compliance.
• Analyzing the transactional alerts (Trackwizz) as in when they are received and ensuring that the proper course of action is put in place as per SEBI/Exchanges requirements.
• Supervision of processes related to Trade Surveillance, Risk management. Analysis and investigation of suspicious cases and discussion of findings with stake holders.
November 2020 - Jan 2022
Senior Manager
DB International Broker
• Reviewing alerts processed by trade surveillance tool (RTRMS) as in when they are received and ensuring that the proper course of action is put in place as per SEBI/Exchanges requirements.
• Managing the audit/inspection of SEBI/Exchanges, ensuring compliance as per exchange & SEBI norms.
January 2011 - February 2017
Deputy Manager
BSE Ltd.
• Conducting the audit/inspection of member brokers, ensuring compliance as per exchange & SEBI norms. Preparing reports and MIS related to inspections.
• Analyzing vast quantities of data during investigations of frauds, unauthorized trading & other market abuse and preparing reports on the dealings/ position of clients, to detect various market manipulation activities.
• Verifying KYC documents, CDD and EDD for clients as per the prescribed AML & KYC guidelines.
• Ensure members’ compliance with the regulatory framework specified by the market regulator/clearing corporation.
July 2008 - December 2010
Manager
Edelweiss Capital Ltd.
• Providing advisory services to PCG clients and handling their portfolios.
May 2006 - June 2008
Relationship Manager
Indiabulls Securities Ltd.
• Managing HNI Clients and providing them with financial services as per their needs.
Education
IIPM
MBA (Finance and Marketing)
2004 - 2006
HPU SHIMLA
Bachelor's in Computer Applications
2001 - 2004
Certification (Covering Compliance, Risk Management, Capital market, Forex, Derivatives,etc.)
- NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification.
- NISM-Series-VI: Depository Operations Certification
- NISM Series VII- Securities Operations and Risk Management Certification.
- NISM Series XIII: Common Derivatives Certification
Other Skills
- Leadership Skills
- Adaptability
- Communication Skills
- Tech Savvy
ssh
Languages
- English — Professional
- Hindi — Professional