Subhash D. Sharma(CS Exe, MBA, PGDFERM, DCL, ISO & SORM)

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E-7/11, Nisarg CHS, Sector-48A,Nerul, Navi Mumbai-400706. (INDIA)Phone : (M) 9920836693,

Email: subhashds76@gmail.com

----------------------------------------------------------------------------------------------------------------------------------Objective

‘To provide innovative, progressive and qualitative service’s to the organization.’ Be responsible for actions; accept challenges in implementation and to achieve the objectives by using management skills.

Area of Expertise

Troubleshooter and Head of back-office operations and Compliance; below are some functions:

Capital Market Operation : Business Vertical Profile :

Heading Compliance & Surveillance Department Back/front - Office (Operation) Interim Fund Management of the company Inspection & Audit of Exchanges & Regulators CBI/EOW matter handling Resolving the queries of Exchange/Regulator Income Tax Matter ISO Standards Certification [MR]

Currency Commodity Branch Monitoring Cost Control Online and Mobile Trading

Career Highlights Comprehensive work experience of 20 yrs in Capital Market & Other Industries

Strong hold on Stock Broking, Depository Operation, FMC & SEBI Compliances, Rules and regulations. (viz. Back office Operation, Dealing, Risk Management and Surveillance, Depository, Legal & Compliance, Administration, Customer Service, Accounts and IT Operation areas).

Well versed with Equities (Retail & Institution), Futures & Options and Currencies.

Experience in setting up system of MIS reporting; handling internal and statutory audit queries; interacting with regulatory authorities, responding to queries and filing reports as per requirements.

Ability to lead multiple teams and motivate staff.

Business Direction, Branch profitability, Right step at right time, cost cutting measures and leading the business vertical Currency & Commodities.

Conducting training programs on Compliance, ISO 9001:2015, PMLA (Prevention of Money Laundering), Surveillance & Currency

Lecture on Direct and Indirect Taxation in ‘College of Information Technology-CIT”

Handling cases of Arbitration & IGRP (Investor Grievance Resolution Panel). So far 16 IGRP and 2 Arbitration Case’s solved and won.

Professional Experience

1. GEPL Capital Pvt. Ltd (Member – NSE/BSE/MCX-SX/ MCX /NCDEX /DP-CDSL) - A Stock Broking company, dealing in capital market

Since the Year 1999 working as Sr. Vice President - Head of Operation, Compliance & Surveillance and Currency Derivatives.

a) Key Responsibilities:

Stock broking Operation of different vertical product like Equity, Commodity, DP, NBFC, Spot & Currency.

Ensuring Compliance of Exchanges, SEBI, FMC and Depository and hence Continual and Periodic review of Back-office and Front-office to ensure compliance with Regulator requirement.

Ensuring and continual review of policies and processes, Internal Controls, MIS, KYC, Risk, Billing, Client Servicing, DP, Surveillance , compliance, Accounts etc.

Keeping track and implementation of new/changes/amendment issued by Exchanges and regulatory bodies.

Review and monitoring of Risk Management and surveillance (RMS) to ensure proper RMS.

Handling Inspection & Audit of the authorities, Exchanges, Internal Auditor etc.

Handling IGRP and Arbitration cases.

Catering to Fund requirement of the organization on day to day basis and also in the steep fall & volatility of the market.

b) Business Development:

Successfully implemented the;

Online trading portal for online business.

Mobile Trading app for trading

NBFC operation-Margin funding business.

Currency Derivatives Operation and Vertical business.

Monitoring mechanism of Branches through IP Address

Review of Branches for Targets, Business and Profitability

c) Other Business and Awareness Activity:

Team of Branch Audit to ensure compliance and profitability of the Branch.

Training and Awareness on Compliance, ISO, PMLA, Surveillance & Research analyst compliance.

Continual Auditing and ensuring ISO 9001:2015 standards as Management Representative [MR] in the organization (Certification from TUV India).

Relationship with Banks, NSE, BSE & F&O Clearing Member, IT vendors etc.

2. M/s. Doublearm Insulation April 1998 – Nov1999 - Accountant and Computer Operator

Maintaining of Petty Cash Book, Cash & Bank Book, and Purchase & Sales Book.

Recording of material Dispatch and Transfer from go down to Site.

Handling of ESIC, Provident Fund and Professional Tax.

Handling of Cash Transaction.

Correspondence with the Companies & Clients.

Raising bills against the Work order and completion of plant work

Salary and Wages disbursement to labour.

Worked in Reliance Petroleum (Jamnagar) and Reliance Industries Ltd (Surat) as Site Accountant under Petron Engineering.

3. M/s. LEO Motors May 1997 - Jan 1998 - Accountant and Sales & Marketing

Worked with Leo Motors for financing the Auto segment; Two Wheeler-Four Wheeler

Handled the Satellite Branch of ‘Maruti Automotive Showroom & Retail outlet’ during the college time as Accountant and Sales & Marketing

Liaison with 20th Century finance for Auto sales of 4 wheeler and 2 wheeler.

Handled the overall finance cycle right from the Client acquisition to delivery of the Vehicle and finance.

4. M/s. Rambha Leasing & Finance Pvt. Ltd. April 1996 – April 1997 - Accountant

Worked with M/s. Rambha Leasing & Finance Pvt. Ltd. and M/s. Priya Auto as an Accountant to handle day to day activity.

5. Other Activity .

As a passion, currently giving the Lecture on Direct and Indirect Taxation in the ‘College of Information Technology’

Conducting various sessions PAN India level on

o Surveillance

o PMLA

o Compliance

o ISO 9001:2015 standards

o Research analyst (In Head Office)

Education

Pursuing LLB & CS. Appeared CS Executive (Module I & II Exam)

PGDFERM (Foreign Exchange & Risk Management) from World Trade Institute

Diploma in Cyber Law from Government Law College

MBA in Finance

B.com with First Class scored 61.42% from Mumbai University

(International Organization for certification) ISO 9001:2015 Certification on Internal Auditor & Lead Auditor from TUV NORD INDIA.

Advanced Certificate in PC Application from N.I.I.T with Grade A secured 86.10%

Certification

NISM Currency Derivatives

NISM Interest Rate Derivatives

NISM Depository Operation Certification

NISM SORM (Securities Operations & Risk Management)

Six Sigma (ISO management consultants) & TUV NORD India Certification

NCFM Capital Market

NCFM Derivatives (Dealer)

BCDE & BCSM Certificate

Certificate on NASD course

Awards & Appreciation Awarded “Simply Exceptional Employee” twice in 3 year.

Awarded for Online Trading Portal.

Recognized for Online KYC, ISO Certification, Surveillance, Exhibition, Mobile Trading apps is some of the initiatives were added to the company.

Personal DetailsDate of Birth : 17/12/1976 Age : 39 yearsSex : Male Marital Status : Married

Nationality : Indian

Subhash D. Sharma