Swathi Nair

To obtain a meaningful and challenging position in the corporate world that will enable me to enhance, learn and practice the management skills and also to work enthusiastically with a team to achieve the goals of the organization.
 

Organization: NATIONAL STOCK EXCHANGE INDIA LTD
Designation: Associate
Department: Regulatory Compliance 
Duration: October 2018 till March 2020.

Job Responsibilities:

1. Managing the team and maintaining the team’s daily and monthly reports.

Member compliance such as:

UCI portal : Updating client details, PPC File, INP file.
Margin Trading Reporting: - Daily Reporting, Verifying of records.
Authorize Person: Registration, Cancellation and Change in Details.

Listing Compliance Such as:

Compliance & Announcement: - Corporate Announcement, Corporate Governance, Debt Compliance.
Financial result: - Results (Annual, Quarter, Half yearly), Annual reports.

Investor Grievance :
 
                 1. Assisting them to raise complaint against brokers and companies
                 2. Assisting them in raising claim against the defaulter members.

No 
Educational Qualification
College / University
Year of passing
Subject
Marks

1
NCFM (Commercial Banking in
India)
NSE Certificate
2016
Not applicable
70%

2
M Com
(Business Management)
KJ Somaiya College of Science and
Commerce  -  Mumbai University
2013-15
Not applicable
A Grade

3
PGDM(DLP)
Wellingkar Education
2013-15
Banking, Insurance, &
Investment
A Grade

4
B Com
KJ Somaiya College of Arts and
Commerce  -  Mumbai University
2010-13
IT and Tax
77.57%

5
HSC
NES Junior College  Mumbai
University
2008-10
Commerce
83.23%

6
SSC
BESE School  Mumbai University
2007-08
Not applicable
79.69%