Ridham Garg
SEBI Regulatory & Stock Exchange Compliance Professional || Regulatory Filings, Surveillance, Inspections & Risk Management || NISM IIIA, VI, VIII || Experience at Findoc Investmart & Dabur India Ltd.
- Role
- Compliance Executive at Findoc
- Location
- Delhi, DL, IN
- LinkedIn followers
- 500 followers
About Ridham Garg
Regulatory Compliance professional with hands-on experience delivering SEBI and Stock Exchange–aligned compliance operations, focused on preventing regulatory gaps, strengthening surveillance frameworks, and ensuring audit-ready regulatory reporting.I have worked across end-to-end compliance execution, including SEBI and exchange filings, monitoring and interpreting regulatory circulars, surveillance reviews, audit and inspection support, and internal compliance controls. My work is driven by precision, timelines, and accountability — ensuring that compliance requirements are met without exceptions or regulatory exposure.Through experience at Findoc Investmart Pvt Ltd and Dabur India Limited, I have gained practical exposure to compliance requirements across financial market intermediaries and corporate environments, enabling me to adapt quickly to different regulatory structures and operational complexities.I am NISM Certified (Series VI, and bring a strong understanding of SEBI regulations, exchange guidelines, and regulatory reporting standards. I am known for my ability to identify compliance risks early, coordinate with teams, and close regulatory action points efficiently.* Core Expertise:SEBI & Stock Exchange Compliance ExecutionRegulatory Filings, Reporting & DisclosuresSurveillance, Monitoring & Exception HandlingAudit, Inspection & Regulatory Review SupportRisk Mitigation & Compliance ControlsI am focused on roles within Regulatory Compliance, Exchange Compliance, Risk & Compliance, and Regulatory Reporting, where I can strengthen governance frameworks, and contribute to zero-defect compliance outcomes.
Experience
Compliance Executive
Oct 2024 — Present · Gurugram, IN
Education
CCS (Chaudhary Charan Singh)University
Bachelor's degree, Bcom
Dr. A.P.J. Abdul Kalam Technical University
Master of Business Administration - MBA, Finance
Dehradun Public School (DDPS), India
12, Commerce
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