Nitesh Pandit

About Nitesh Pandit

Hello, I\'m Nitesh, a B.Com graduate from Mumbai University…

Experience

1. Assistant Manager - Regulatory Operations

   Nse India

   Nov 2024 — Present · Mumbai, IN

   Supervising Business Development tasks for the Unique Client Code (UCC) application to comply with SEBI regulations.• Participating in User Acceptance Testing (UAT) for the UCC application.• Conducting Due Diligence on clients to support market trading operations.• Drafting Circulars aligning with SEBI guidelines.• Managing inquiries from Trading Members regarding the UCC API and Member Portal.• Addressing SEBI Enquiries concerning complaint scores.• Compiling Daily and Fortnightly Management Information System (MIS) reports.• Accommodating ad hoc data requests from stakeholders such as SEBI, the Income Tax Department, CBI, Police, EOW, and Internal Departments.• Formulating and enhancing queries on the Data warehouse module for accurate data retrieval.• Collaborating with the Finance and Accounts department to ensure prompt payment disbursements and prevent penalties.• Conducting Training programs for Trading Members on UCC-related matters.• Monitoring the Enterprise Compliance Dashboard weekly to ensure task completion within deadlines.• Executing the Daily Checklist for the UCC.• Generating DP and BO Mapping files daily to minimize client losses.• Conducting Know Your Customer (KYC) processes for Sikkim-based clients on a daily basis.• Drafting of Standard Operating procedures (SOPs) for internal workflows. • Performing monthly Data cleanup exercises for new Projects to maintain data integrity and precision.• Ensuring prompt completion of un-freeze requests from Trading members regarding changes in PAN, Name, DOB, Category, and other variations.

Education

• University of Mumbai

  BCom - Bachelor of Commerce, Accounting and Finance

• Viva College, Mumbai

  Hsc, Commerce

  2015 — 2017