Cell: 982-001-2074 | Email: shoeb @ hush .com
Permanent Address:India
Objective
Seeking a challenging management position in the legal and compliance field to help lawyers prepare legal documents maintain records and conduct research in organization offering opportunities for advancement and growth.
Experience in Areas / Departments of:
Legal & Compliance :
Statutory Compliances
Audit and Inspection
Arbitration
Agreement Vetting Legal Documentation
IT and Information Security :
Firewall Log analysis.
Employee Surveillance.
Software designing & testing.
Internet/Intranet technology
Broking / DP Operations :
Sub broker Registration
Surveillance & Risk
DP Operations
DP Account Opening
Back office processing
NBFC Operations:
NBFC operations Margin Funding
IPO Funding
ESOP Funding
Commodities Funding
Summary of Qualifications / Professional Certifications:
Currently in Third year of L.L.B.(criminology)–Mumbai University
Cyber Crime Investigator -- Asian School of Cyber Laws - 2008
NCFM certifications in Depository (2002) and Dealers (2004) modules
Diploma in Software Engineering 1995-1997 Aptech Computers Ltd
BA - Bachelor of Arts. (History) 2004 Madras University (correspondence)
MAJOR TASK UNDERTAKEN:
Researching and analyzing law sources to prepare drafts of briefs or arguments for review, approval, and use by lawyers.
Assist lawyers by interviewing clients and other related parties, assembling documentary evidence, preparing trial briefs, and arranging for trials.
Worked directly with COO/Directors/Senior Vice President on compliance and emerging legal issues in the broking field.
Framing & Control of Prevention of Insider Trading policy & PMLA. Coordination and handling of arbitration cases and recoveries/appeals.
Coordination for legal cases, police matters, SEBI/Exchanges cases. Recovery matters-issue of notices, legal drafting, filing cases, and etc.
Serve as liaison between lawyers and other staff, contract lawyers, outside lawyers, court personnel etc.
Maintain the Legal Database for an easy reference and rapid retrieval of information.
Identified issues, conducted legal research, and presented written arguments
Maintain the Legal Database for an easy reference and rapid retrieval of information.
Provided assistance to various departments with project work, press releases, etc.
Involved in other aspects of business included working with attorneys on a variety of contracts, regulatory compliance issues, and various aspects of litigation.
Responded to requests to overseeing confidential internal investigations and personnel matters.
Provided recommendations regarding matters of policy direction and changes
Provide case management assistance and tracking of litigation
Developed methods to improve security policies, processes, and practices, and recommend changes to management.
Managed and handled activities connected with registration and closure of Sub-broker, Remisier and Authorized Person. Verification and scrutiny of application towards Registration and Dis-association of Associates (Sub-Brokers / Authorized Persons / Remiser) with BSE, NSE, NCDEX and SEBI.
Collecting required data and information related to cases. Looking and complying of Clients Agreement, Demat Opening, KYC Opening, and Front Office & Back Office.
Compliance and submissions of documents as required by Regulators/ exchanges for inspections/ investigation/queries etc. Answering Query of SEBI, BSE & NSE, Looking After Anti Money Laundering Policy of Clients as per SEBI Norms.
Following Compliance Policies & Guidelines as per SEBI rules & regulations for a broking house like KYC (Know Your Client) Norms, order confirmations, and maintaining voice logger's process.
CDSL compliance - Grievance Report and Suspicious Transaction Repot. Coordinating with the respective managers at Regional Heads & H.O. level and handling various compliance issues
Monitor all regulatory changes SEBI/DP/ Exchanges on daily basis and advise the concerned HODs for implementation and monitoring
Redress critical Investor Grievances received from SEBI/NSE/BSE/MCX and NCDEX.
Coordination for SEBI/FMC /Depository/Stock Exchange/Regulatory Depository inspections.
Ensure that no serious adverse observations/comments on inspection, Audits of Stock Exchanges, SEBI, etc. and no major penalties are imposed
Coordination for depository’s inspection, correspondence and replies and rectifications on observations and to ensure that no serious adverse observations are made.
Management of staff surveillance, customer complaint resolution, oversight review of daily trade UCC and other compliance reports, CTCL Id uploads
Advanced proficiency in research (Can find literally anything indexed on internet websites, or internet research tools; or stored in a searchable computer system)
Ability to apply regulations to develop sophisticated arguments or explanations
Superior presentation skills in person, on paper, by phone, via e-mail, or through PowerPoint (for all size groups)
Preparation and review of contracts. Technical writing/drafting to satisfy regulatory requirements
Identify areas for improvement in statutory compliances and developing solutions for these. Install and manage on-line emergency handling system for the legal compliance angle.
>Maintain all records and systems as per the law of the land in relation to the land and/or building and out sourced contract labour.
Interaction with Contractors, Government Agencies and Legal aids.
Proven track record of streamlining processes, setting up new departments for enhancing operational efficiency levels. Management of staff surveillance, customer complaint resolution, oversight review of daily trade UCC and other compliance reports, CTCL Id uploads.
Technical Qualifications
ADSE-Advance Diploma in Software Engineering (Three years)
from Aptech Computer Education.
Technical Skills
Operating System:
Win 98, UNIX, Win NT, Mac OS 7.5
Programming Language:
C, C++, Shell Script, Fox pro, VB Script, JavaScript, Asp.
Packages:
Microsoft Site Server, Oracle 7.0, Oracle power objects,Developer 2000.
Multimedia Packages:
PhotoShop 5.0,Adobe after Effects,Fireworks,Dreamweaver,Director, AfterShock,Anfy Java,Flash,Elastic reality,Adobe premiere,Sound forge,Adobe pagemill,3D Home Architect, Kai power Goo 5.0.
Others:
Novell Netware 3.0,Html,Wap,Xml,Palm OS,Embedded web technology,Smart Cards.
WAP site For Mobile Phone Users 
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Download SEBI Regulatory Actions Taken from 2-Jan-04 to 30-Sep-09