Rupak Lad

Experience

1. Associate

   Crisil

   Oct 2020 — Present · Mumbai, IN

   Guiding employees to disclose and close the Designated and Non-Designated Broker accounts on iComply portal.Prepare and publish Trade Recon data for Designated Broker and Security Type report & highlight the breaches with senior management fortnightly. Preparation of Weekly & Monthly reminder data and escalation data(Department, Division, Location, Level wise) for employees who have not provided the monthly transaction statements and not closed the Non-Designated Broker accounts. Prepare and publish MIS for the queries related to Designated and Non-Designated Broker accounts and other Compliance related queries in T+2 TAT.Verify the response received for the transaction statement and report the breaches identified.Approving the Designated Broker exception request on the system and maintain the MIS.Preparation of pendency data (who have not completed the course).Preparation of data of Designated Broker accounts and Non-Designated Broker accounts, Monthly transaction statement data, disclosure of accounts, closed accounts, DB Exception request data, on weekly basis.Sending the consent forms to Designated Broker (ICICI, HDFC, Kotak, Sharekhan, Zerodha and Upstox).Follow up with the Designated Brokers for the not mapped employees with the respected brokers. Follow up with the employees to complete the training courses, provide monthly transaction statements.Verifying the holding statements and approving them in the system.Worked on arranging the open house with the Designated Brokers to solve the employee queries and concerns regarding transfer of shares, mutual funds, locked-in shares, etc. Worked on maintaining the data for the open house (as who open a designed broker account, closing of non-designated broker account, other queries and concerns).Giving the exit clearance to the exiting employees. Explaining the Personal trading policy to the employees to guide them form trading purpose and ensure that they will take the prior approval before trading.

Education

• Welingkar Institute of Management

  Executive MBA

  2023 — 2025

• Mumbai University Mumbai

  Bachelor of Arts - BA

  2013 — 2016