Jainam Shah

Working in Stock Broker Company having Institutional Clients.

1. BOD and EOD activities of trading platforms (Omnesys, Odin and Greek soft).

2. User Management and user id/terminal id creation for CTCL and Exchange platforms.

3. Continuous monitoring of trades and margins, Fix order & Limit monitoring.

4. System Audit Handling and Reporting

5. Periodic Reporting to Risk and Future & Option Operations. Inter Department Coordination, MIS and Management Reporting.

6. Monitoring overall risk operations, Identify new risks that might have arisen in daily analysis of BOD/EOD process.

7. User Creation/Modification/Cancellation and Ensuring smooth trading operations

Working in Stock Broker Company having Institutional Clients.

1. Clients Empanelment - Gathered, organized and evaluated data to make accurate assessments of KYC

2. Managed practical action plans to respond to audit discoveries and compliance violations.

3. Checking of regulations of Insider Trading regarding Employees of Organization

4. Using of ENIT portal of NSE for Modify of Terminal IDs.

5. Update of NSE and BSE Circulars regularly regarding Stock Broker.

6. Solving of Errors regarding trades through Surveillance Portal.

7.Played a pivotal role in addressing non-compliance incidents, leading prompt investigations and resolution efforts.

8. Verifying Investment Declaration of Clients.

• Handling XBRL including IND AS of all Group Companies
• Preparation of Agenda, Minutes of Board Meetings, Committee
• Meetings & Circular Resolutions, various Secretarial standards documents
• Filing of various e-Forms with ROC – Event based as well as Annual filings
• Creation, Modification, and Satisfaction of Charges and filing of respective forms on MCA Portal
• Exposure to Tax Audit including checking of Sales register, Purchase register, Expenses, TDS related Documents
• Drafted professional memos, letters and company's regulatory copy to support business objectives and growth
• Created and maintained detailed administrative processes and procedures to drive efficiency and accuracy.

• Preparation of Agenda, Minutes of Board Meetings, Committee
• Meetings & Circular Resolutions, various Secretarial standards documents
• Increase in Authorised Share Capital under the Companies Act 2013
• Handling Rights Issue of shares under the Companies Act, 2013
• Handling in shifting registered office of the company within the same
• Registrar
• Assisted shifting registered office of the company one state to another State
• Assisted in all the Pre & Post Annual General Meeting (AGM) formalities/Compliances
• Preparation of Annual report of listed companies
• Submission of AGM Proceedings to ROC (MGT 15)
• Secretarial Audit carried out by Practicing Company Secretary