1. Y.S.Mani Kumar
Phone: (M) +91 944 015 8740 Email: ysmanisurya@gmail.com
SYNOPSIS
Dynamic, result oriented Professional with 10+ years’ experience in Compliance, Legal and Audit.
Ability to deliver and execute on well-rounded decisions that drive achievement of business objectives and
a keen Customer need assessment attitude:
 Adapt to work in high-pressure environments with strict deadlines and multiple deliverables.
 Develop strong client and team relationships and maintain communication with both.
 Team Player with strong problem solving and analytical skills.
 Excellent decision-making skills with a positive approach.
 Good communication and interpersonal skills
EDUCATION QUALIFICATION
EDUCATIONAL QUALIFICATION:
ACADEMIC : L L.B from Berhampur University
Graduate in Political Science (Honors) from Berhampur University.
SOFTWARE EXPOSURE
LANGUAGES : C, C++
PACKAGES : WordStar, Lotus,
Ms-Office (Word, Excel, PowerPoint & Access).
DBMS : FoxPro
WORK HISTORY
PROFESSIONAL SNYOPSIS:
WORK EXPERIENCE:
Company Name : Karvy Stock Broking Ltd. (Hyderabad)
Department : Compliance
Designation : Senior Manager (PAN India)
Duration : Sep 2012 to till date
• Over 10 years of experience in Legal and Broking Compliance
• Currently working as Senior Manager, Compliance with Karvy Stock Broking Limited.
• Extensive experience in handling Inspections and audits of various regulatory bodies.
• Proven Skills in drafting and vetting of Leave & License / Lease Agreement, Amenities Agreement,
commercial agreement, client-service agreement, affidavits and other legal documents.
• An effective communicator with good presentation skills; strong analytical, problem solving and
organizational ability.
• Effective implementation and due diligence with the provisions of relevant acts, rules and byelaws
of various regulatory bodies.
• Well updated with circulars of all the relevant regulatory bodies and responsible for circulating the
highlighted extracts of it in the summary form.
Address: Flat No 205, Jewel Crown Apt., Sri Sirdi Sai Nagar, Manikonda, Hyderabad – 500089

2. Y.S.Mani Kumar
Phone: (M) +91 944 015 8740 Email: ysmanisurya@gmail.com
Responsibilities :
• Handling Arbitration matters, Investor grievances/complaints filed by Clients with Investor
grievances committee of Stock Exchanges NSE, BSE, MCX, NCDEX, SEBI and other regulators.
• Drafting of documents, Statement of case, replies, rejoinder, Sur-rejoinder, and other
application for arbitration proceedings filed by or against the company and investigating the
matters.
• Drafting replies to advocate notices from Clients, Regulatory, and other authorities.
• Conducting execution for enforcing awards in arbitration references.
• Promptly implementing regulatory rules at head office and branch offices.
• Attending the queries raised by Income Tax department, Enforcement Directorate, EOW and
others
• Facilitating induction to new hired employees and giving them awareness on PMLA and
compliance.
• Approvals from regulators for publishing advertisement.
• Advising various departments across the company on legal issues raised by them.
• Providing in house legal service on as needed basis to all departments and advice on legal
repercussions of commercial activities.
• Checking Contracts & Franchise Agreements, and other legal formalities (mainly non -
litigation).
• Drafting of agreement and contracts involving various regulations and acts.
• Ensuring that the legal documents and other contractual documents are effectively drafted,
reviewed, interpreted and vetted.
• Maintaining sustained contact with legal professionals & government officials for initiating /
following up on legal procedures and finalizing various legal agreements / matters.
• Going through SEBI / Exchange circulars and announcements and informing concerned
departments with value additions for clarifications obtained.
• Framing, discussing and implementing various policies in the organization for better
compliances.
• Giving compliance clearance to various department, wherever required.
• Ensuring timely submission of relevant documents/certificates to SEBI/Exchanges e.g. Balance
Sheet, Net worth Certificate, Share holding pattern, etc.
• Reviewing and setting-up AML/Insider Trading regulations.
• Replying suitably to investor’s grievances within prescribed time and keeping complete record of
the same.
• Handling inspection team of SEBI / Exchanges as well as drafting replies to inspection reports.
• Handling internal auditors and fulfilling their audit requirements and audit queries.
• Ensuring relevant records are updated in Back-office/any other software w.r.t debarred entities,
authorized signatories, etc.
• Analyzing trading patterns (cross deals, illiquid scrips, synchronized trades, etc) of client’s over
a period of time or in a particular scrip and issuing surveillance letters/taking precautionary
steps, wherever reqd.
• Reporting suspicious transactions report (STR) to financial intelligence unit (FIU) if any
suspicious transaction found through principal officer.
Regional Compliance Head
M/s. INDIABULLS SECURITIES LIMITED
(APRIL 2006 TO AUGUST 2012)
Address: Flat No 205, Jewel Crown Apt., Sri Sirdi Sai Nagar, Manikonda, Hyderabad – 500089

3. Y.S.Mani Kumar
Phone: (M) +91 944 015 8740 Email: ysmanisurya@gmail.com
Company Profile
INDIABULLS SECURITIES LTD is a widely held Public Limited Company and is a member of the BSE, NSE,
MCX and NCDX. The Company is
• Member of National Stock Exchange
• Category- I Merchant banker
• Category – I Registrar and Share Transfer Agent
• Depository Participant under CDSL
• Depository Registrar under NSDL and CDSL
The company is the first and only brokerage house in India to be assigned the highest rating BQ-1 by
CRISIL.They have a pan India presence with a network of 123 branches spread across 70 cities.
KEY RESPONSIBILTIES:-
 Monitoring the entire southern region (Andhra Pradesh, Karnataka, Kerala and Tamil Nadu region
and ensuring that all compliance and audit activities was taken care of by their respective LCO’s
(Local Compliance Officers) of all branches.
 Developing and Initiating the policies and procedures for the general operation of the Compliance
program and its related activities to prevent illegal or improper conduct and managing day-to-day
operations of the company.
 Responding to alleged violations of rules, regulations, policies, procedures, and standards of
conduct by evaluating or recommending the initiation of investigative procedures. Developing and
overseeing a system for uniform handling of such violations.
 Ensure acquiescence with compliance standards and audit procedures.
 Identify compliance risks from every business line and manage them by providing training, advice,
testing and monitoring.
 Roadmaps offering details about Company norms and activities regulatory requirements to
ensuring compliance with the regulations. To develop and update inventory of regulations,
rules, practices and guidelines for South India operations.
 To represent the firm in communication and interaction with regulatory bodies.
 To conduct compliance training and updating employees and line managers, to junior level staff on
compliance related matters.
 Reviewing and monitoring internal procedures and practices to provide compliance with group
and regulatory requirements.
 Providing reports on a regular basis to the committee of the board and senior management.
 Ensures proper reporting of violations to duly authorized enforcement agencies as required.
 Ensuring Compliance in all offline and online Branches.
 Handling Client Complaints and other Grievances of Customers.
 Providing Evidences for trades to customer care and Investor Grievance’s Cell.
 Co-ordination with the branches for any clarifications and updations.
 Maintaining weekly MIS and circulating it to HOD.
 Co-ordination with IT team in development of Compliance Software.
 Co-ordination with HR Department related with Head Office and Branch Compliance Staff.
 Providing guidance and directions for special back-end reviews.
 Helping in development and management of the enterprise-wide compliance management.
 Organizing compliance information and document requests for compliance examinations.
Address: Flat No 205, Jewel Crown Apt., Sri Sirdi Sai Nagar, Manikonda, Hyderabad – 500089

4. Y.S.Mani Kumar
Phone: (M) +91 944 015 8740 Email: ysmanisurya@gmail.com
Previous Experience
Worked as Asst Manager in M/s. PARTH POLYMERS (DECEMBER 1993 TO AUGUST 1996)
PERSONAL DETAILS
Father’s Name : Late Y.Rama Rao
Marital Status : Married
Date of birth : 24 th Oct 1975
Languages : English, Hindi, Telugu & Oriya
Hobbies : Playing Games viz., Badminton, carom & Listening Music.
References : Available on Request
Address: Flat No 205, Jewel Crown Apt., Sri Sirdi Sai Nagar, Manikonda, Hyderabad – 500089