Periyasamy Sivasamy

Compliance Consultant @Ekarup

Coimbatore, IN

Manage and oversee brokerage operations staff • Front-ending with Regulators and maintain excellent working relationships, handling regulatory inquiries with maturity and without/with limited supervision• Work closely with clients/staff to ensure operational questions/procedures are answered/observed• Design/implement policies, systems and procedures – modify existing procedures where necessary• Plan, organize, direct, control and evaluate the operation of an accounting and branch audit.• Compliance testing on areas that pose high regulatory risks be it trading, settlement, Pay- in/payout, KYC, grievances, Insider checks, etc. • Drafting/vetting of various agreements, side letters, PDAs, engagement letters, PDAs, agreements involved in Capital Markets transactions.• Evaluate financial reporting systems, accounting procedures and investment activities and make recommendations for changes to procedures, operating systems, budgets and other financial control functions.

Anna University Chennai

Master of Business Administration - MBA, Finance and Financial Management Services

Bharathiar University

B.Com (CA), Commerce

Anna University Chennai

MBA, Finance