Aditya T.

Nar
Targeting Assignments in: Risk Management, Audit, Compliance
Location Preference: Mumbai & Overseas

aditya0189@gmail.com +91-9082552260 / +91-9029390235

Notable Accomplishments Profile Summary

Introduced Dual Checker A high energy driven professional with over 7 years of extensive experience in
concept throughout processes operational risk management, RCSA, audit and compliance in BFSI sector
which reduced processing Proficient in conducting risk audits single-handedly for various business processes
errors by more than 50% at Expertise in identifying & evaluating risk areas and implementing a plan to prevent,
NCML eliminate & mitigate operational risks
Led numerous engagements encompassing scoping and risk assessment, process
documentation, RAG analysis, walkthroughs, and testing; supported management on
Introduced Reconciliation deficiencies assessment; trained personnel on the methodology
process to reduce inordinate Identified ways of strengthening & measuring internal controls, improving
delays and to improve efficiencies, and adding value by matching organizational capabilities with client needs
operational efficiency & Focus for process improvement in various business areas
customer satisfaction at NCML Hands-on experience conducting inspections of Depository Participant (DP) in
securities market-India
Closely worked with SEBI auditors during DP Audits
Selected as a member of Audit Hands-on experience of using various trading software’s like Diet Odin, Trade Tiger in
Committee on behalf of NSDL capital market. Capable of formulating own trading strategies based on price action
for the Surprise Inspection to gain maximum profit backed by proper Risk Management
Task ordered by SEBI in 2017
at NSDL Certifications

NISM Equity Derivatives Certification (2014)

Successfully achieved sales NCFM Capital Market-Dealers Module (2013)
targets on MoM and achieved
over 250% target on the Academic Highlight
joining month itself at HDFC
Life Insurance Pvt. Ltd . Ranked 3rd in MMS – Finance final Year (VESIM) & got acknowledged from Director of
the Institute

Career Timeline

Since Jan’18 Sep’14-Dec’17 May’10-Mar’11

National Collateral National Securities
Depository Ltd. HDFC Life Insurance
Management Services Pvt. Ltd. Mumbai as
Ltd. (NCML) Mumbai (NSDL) Mumbai as
Assistant Manager- Sales Development
as Deputy Manager- Manager
Risk Audit & Compliance

Competencies

Operation Risk & Permanent Control Auditing (Internal & External) Compliance Monitoring

Risk & Control Self Assessment-RCSA Process Management & Enhancement MIS Reporting

Risk Assessment & Risk Mitigation Stakeholders Management System Enhancement

Organizational Experience

Deputy Manager-Risk with National Collateral Management Services Ltd. (A Fairfax Co.) Mumbai Jan’18-June20

Key Result Areas:

SPOC for risk management practice administering all risk processes within the organization
Timely execution of risk based internal audits in accordance with audit scope, draft audit observations, quantify impact,
identify root cause and recommendations for enhancement of performance across the organization
Prepare draft report for respective assignments, Create awareness and guide process owners in implementation of
controls as well as sound business practices & processes, Follow up of the audit reports for compliance and Identify
control weakness and escalate to seniors.
Assist in risk assessment, enhancing & implementing group policy guidelines on business process & system, ensure
permanent control framework within the organization and following up with internal stakeholders
Reporting weekly and monthly MIS on critical observations and group performance to senior management to keep them
informed about risk findings
Managing all open high-risk gaps and ensuring their closure without any financial loss to the company
Proactively worked with IT Department to automate identification of high-risk transactions. Assist in new app
development – NPOP (App allows to find out exact location of field staffs)
Optimizing risk management by monitoring & controlling operational losses; maintaining & enhancing the operational
risk policy for the organization

Assistant Manager-Audit and Compliance with National Securities Depository Ltd. (NSDL) Mumbai Sep’14-Dec’17

Key Result Areas:

Conducting regular/surprise audits of Depository Participants (Brokers, Banks, NBFCs, Custodians, CC) and Issuer &
RTA in accordance with annual audit scope and guidelines/SOPs issued by SEBI, Depository and PMLA
Verify Sample data. Identify deviations, weaknesses in the processes and prepare audit report
Conducting closure meetings and providing recommendations for operational enhancement, discussing observations
with the appropriate level of management for resolution
Follow up of the audit reports for compliance and ensure its timely closure
Monitoring compliance of depository operations of business partners in ongoing basis to ensure 100% compliance and
to safeguard them from any administrative warning/penal action from SEBI
Providing responses to the SEBI within stipulated TAT; quarterly reporting to SEBI, proving data to internal &
concurrent auditors/SEBI during Audit or as and when sought.
Managing after compliance, regulatory affairs and queries of Business Partners related to Depository Operations.
Administering end to end fresh membership registrations, renewal of membership with depository (NSDL) and
subsequent submission to SEBI
Preparing status Reports, compliance audit data and MIS reports and publishing to the senior management and
stakeholders
Analyzing financial statements; checking and reviewing internal audit reports, net worth certificates, compliance
certificates/ letters submitted by the DP

Sales Development Manager with HDFC Life Insurance Pvt. Ltd. Mumbai May’10-Mar’11

Key Result Areas:

Lead a team of distributors, developed agency channel business, develop and implement strategies to enhance
insurance business and achieve business targets.
Providing training to business associates on insurance products, financial markets, customer behavior and marketing
approach.

Academic Details

M.M.S. (Finance) from VES Institute of Management Studies & Research (VESIM) Mumbai University in 2014
B.M.S. from D. G. Ruparel College, Mumbai University in 2010

Personal Details

Date of Birth: 1st May 1989

Languages Known: English, Hindi, Marathi & Gujarati
Address: Wadala West, Mumbai