Praveen Kumar Prasad

Address: A-103, Shikhar Appartment, Hatkesh, Mira-Bhaynder Road, Mira Road, Thane, Mumbai
Contact No.: 09321106376/ E-Mail: praveen.20022@gmail.com

Senior Level Assignments: Statutory Compliance/ Internal Audit/ Inspection/Corporate Action

(Location Preference-Mumbai & Delhi)
PROFILE SNAPSHOT

MBA (Finance and Marketing) with over 10 years of rich experience in Depository Operations. Periodic Inspection of depository

participant and identification of key risk areas for requiring immediate focus and monitoring. Presently associated with National

Securities Depository Ltd., Mumbai as Assistant Manager. A keen & strategic planner with strong skills in implementing schedule for

the inspection to be conducted on monthly basis, conducting inspection of the depository participants etc. Adept in spearheading

corporate and financial planning initiatives; deftness in enhancing business processes and systems. An enterprising leader with strong

analytical & organisational abilities along with skills in depository operations.

AREAS OF EXPERTISE

Inspection Strategic Planning Statutory Compliance

Policies & Procedures MIS Internal Audit

Depository Operations

CAREER CONTOUR
Since Oct 2007 National Securities Depository Ltd., Mumbai Assistant Manager

Jul’06–Jun’07 ICICI Bank, Mumbai Officer

Key Deliverables:
 Preparing schedule for the inspection to be conducted on monthly basis, conducting inspection of the depository participants and
preparing complete detailed inspection report of the depository participants.
 Identification of key risk areas for depository participants requiring immediate focus and monitoring.
 Regular coordination of regional offices in carrying out the supervision process.
 Analyzing the member documents, their submissions, statistics, reports and scrutinizing various trends in their volume, clientele
etc.
 Preparing inspection report for each depository participant and taking appropriate response and submission from the depository
participant.
 Examination of Depository Participant’s past compliance status, inspection/internal audit reports.
 Placing the cases before the Senior Management for taking appropriate decisions and action required in each case.
 Regular follow up with the depository participant to ascertain the compliance status and taking action on implementation on
resilience measures, wherever required.
 Handling investor meets in different cities, preparing executive committee report for the company on monthly basis and report for
regulatory body on quarterly basis.
 Conducting inspection of Tax Information network-Facilitation Centre (TIN-FC).
 Ensuring observance conducted by TIN-FC’s to operating procedures, guidelines and service standards prescribed by NSDL &
Income tax department (ITD).
 Monitoring corporate action for ESOP Allotment, corporate action of preferential allotment, warehouse allotment, debenture,
commercial paper, certificate of deposit and for extinguishment of debentures.
 Monitoring the demat pendency for the companies and coordinating with the Registrar and Transfer Agents.
 Scrutinisation and coordination with the companies who wish to offer demat facility to its shareholders by admitting the securities
in NSDL.
 Scrutinisation of the documents, Annual report, and the eligibility of the companies who wish to join NSDL as a R&T Agent.

 Providing pilot testing to the new R&T agent and drafting and Issue of Circular to R&T Agents.

 Preparation of MIS, report and handling the queries of SEBI.

 Coordination with IT teams for system developments requirements.

 Reply to queries asked by the SEBI, Exchanges and other regulatory authorities.

SCHOLASTICS

MBA (Finance and Marketing) from Nagpur University in 2006

B.Com (Accounts) from Vinoba Bhave University, Hazaribagh in 2003.

Personal Details

Date of Birth 25th September, 1982

Languages Known English & Hindi