N.Phanindra Babu
F.NO:E-H2-501
AARAMBH TOWNSHIP,CHANDANAGAR
HYDERABAD-500019
Email: phanindra1234@gmail.com
Mobile: 9966188859
Career Objective & Skills Summary:
Achieve a challenging position in the field of Compliance & AML where I can effectively contribute my
techno functional skills as a professional.
Having 3.4 years of Capital Markets related experience backed by good knowledge of relevant
operational exposure and professional certifications.
Effective communicator with good interpersonal / team management skills and ability to implement
time bound assignment.
Total No.of STR’S FILED UNTIL DEC 30,2011 : 05
Total No.of CTR’S FILED UNTIL DEC 30,2011 : 27
Technical Exposure :
Programming Languages: C, C++, C#.NET
Database
: MS-SQL SERVER
Web Technologies
Tools & Utilities
: ASP.NET, HTML
: Visual Studio 2005
Work Experience:
I am associated with G.S.V SECURITIES PRIVATE LIMITED since June 2008 and currently working as
a Senior Officer for Compliance & AML
Job Profile:
1
AML Rules Parameterization and Customer Profiles as per business requirements relating
to AML/KYC.
2
Framed the Guidelines document on policies and procedures to be followed for reporting
suspicious transactions based on AML policy guidelines.
3
Reviewing Transactions based on alerts generated to identify suspicious Transactions.
4
To carry out Suspicious Transaction reporting (STR)/ cash Transaction reporting (CTR) to
FIU-INDIA.
5
Verification and acting on various Circulars released by SEBI, FMC, Depository and
Exchanges in continuous consultation with the strategic management team.
6
Validation of module by testing them to have results as per Rules.
7
Analyze extensive accounting statements to detect any patterns or trends that present
illegal activities or frauds
8
Preparing and submission of reports required by Regulatory bodies, Exchanges
And depositories from time to time.
9
Performs data and document audits to ensure application integrity, accuracy,
Consistency and completeness.
10 Prepares and issues final audit reports summarizing findings and noting corrective
Actions.
11 perform the analysis of data to identify issues, threats and opportunities.
12 Analzing the present-state policy documentation and develop alternative future-state
approaches and facilitate implementation.
13 Responsible for Normal
corporate actions etc.,
(Equity,Derivatives)
&
Auction
Settlements,
reconciliation,
14 Monitoring the implementation of strict KYC norms through out the process and authorizer
for KYC & BackOffice Operations.
15 Coordinating with the Regulatories, Exchanges, Depository for any clarifications and for
trouble shooting activities to resolve the problems.
Academic Background:
MBA-FIN (09-11) : Master of Business Administration in Finance with an aggregate of 76% from
‘Sikkim Manipal university’.
MCA
(2005-08) : Master of Computer Applications with aggregate of 74% from
‘Spaces Institute for P.G. Studies’ affiliated to Andhra University.
B.Sc (2002-05)
:
Bachelor of Computer Science with aggregate of 60% from ‘A.G.L
Degree College’ affiliated to Andhra University.
Professional Certifications:
Achieved the Following Certifications from FIMMDA, IIBF, NSE, BSE, NISM, MCX, AMFI
CERTIFIED IN AML/KYC FROM IIBF
NSE-NCFM (NSE’S Certification in Financial Markets)
1 Secured 61% in FIMMDA Debt Market Module.
2 Secured 70.5 % in Compliance Officers (Brokers) Module.
3 Secured 79.5 % in Capital Market (Dealers) Module.
4 Secured 85.5% in Derivatives Market (Dealers) Module.
5 Secured 90% in Commodities Market Module
AMFI (Association of Mutual Funds in India)
1 Secured 55% in Mutual Funds Advisors Module
NISM (National Institute for Securities Market)
1 Secured 68% in Currency Derivatives Module
MCX (Multi Commodity Exchange)
1 Secured 68% in MCCP(MCX Certified Commodity Professional) Exam
BSE-BCFM (BSE’S Certification in Financial Markets)
1 Secured 78% in BCDE( BSE’S Certification in Derivatives Exchange)
2 Secured 89% in BCCD(BSE’S Certification for Central Depository)
Personal Profile:
Date of Birth
29th oct 1983
Father’s Name
N.S.R.S.V.Prasad
Marital Status
Single
Nationality
Indian
Passport
G5529851-Valid till 18th December, 2017