Vinay Koli
Mumbai
Summary
Dynamic professional with extensive experience in regulatory adherence and investment management operations at Bombay Stock Exchange. Proven track record in resolving investor complaints and enhancing compliance processes. Skilled in reconciliation and settlements, with strong analytical abilities and effective communication skills, driving successful outcomes in high-pressure environments.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Assistant Manager
Bombay Stock Exchange
03.2023 - Current
- Handling Regulatory complaints - Registered by investors against Various Market participants on SCORES and ODR.
- Handling Conciliations and Arbitrations on ODR against Market participants.
- Preparing SEBI monthly reports, Regulatory reports for the Office of CRO, Internal reports for regional teams, BSE website reports and various MIS reports as required by the process.
- Coordination with development team for various development activities related to the automation of process. Projects worked on in BSE- SCORES 2.0, ODR, CRS, BEFS.
- Coordination with Exchange internal teams for Investigation of Complaints.
- Checking for various compliance task with the Trading Members.
Senior Executive
HDFC Sales Ltd.
12.2021 - 03.2023
- Managing Complaints and Grievance ID at Management level.
- To provide inputs and to provide resolution of complaints within the TAT.
- Reconciliation of Business and Commission received from Partners.
- Handling of ORC commission, Fund transfer for payment purpose and provisioning.
- Handling Mutual fund commission for HDFC sales with Partner AMCs.
- Managing AMFI certification process for associates.
- Preparing reports for IRDA filing.
Team Leader
Computer Age Management Services (CAMS)
03.2018 - 08.2021
- Managed major Investor and IFA campaigns for client ICICI Prudential Mutual fund.
- Creating awareness among Investors for use of myCAMS mobile app which is a single gateway for various fund houses.
- Guiding Distributors with edge360 application for digital awareness.
- Providing eKYC solutions for onboarding new investors.
- Use of mf360 CRM platform for Investor touch points.
- Enabling of subscription, transfer and redemption of units.
- Handling of Major VRM campaigns for R1 category Investors.
- Training New joiners on Process and products
- Sharing of periodic reports to stakeholders and regulators.
- Generation of various Sales and operations reports as per client requirement.
- Managing Retention of Investors who had submitted request for withdrawal.
- Ensuring adherence to KYC Compliance, SEBI and TRAI requirements.
Education
MBA - Finance
Institute of Business Management & Research
Pune10-2021
Bachelor of Science - Physics
SIES College of Arts, Commerce & Science.
Mumbai11-2016
Skills
- Regulatory adherence
- Investment management operations
- Investment in mutual funds
- Equity and Capital Markets
- Reconciliation and Settlements
Certification
NISM Series VI - Depository Operations certificate.
NISM Series VII - Securities Operations and Risk Management.
NISM Series XII - Securities Market Foundation.
SEBI Investor Certification examination.
NISM Series II B - Registrar and Transfer Agent (MF)
NISM Series V - A - Mutual Fund Distributors.
Languages
English
Advanced (C1)
Hindi
Bilingual or Proficient (C2)
Marathi
Bilingual or Proficient (C2)
Timeline
Assistant Manager
Bombay Stock Exchange
03.2023 - Current
Senior Executive
HDFC Sales Ltd.
12.2021 - 03.2023
Team Leader
Computer Age Management Services (CAMS)
03.2018 - 08.2021
MBA - Finance
Institute of Business Management & Research
Bachelor of Science - Physics
SIES College of Arts, Commerce & Science.
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