Sudhanshu Arora is seeking a challenging role that allows him to develop his analytical and technical skills. He has over 6 years of experience in compliance and governance roles at Axis Bank and Motilal Oswal Securities. His responsibilities included preparing various regulatory reports, ensuring compliance, handling inspections, and representing the company in legal matters. He has cleared 8 certification exams from NISM and received awards for his performance. He is proficient in MS Office and has strong communication, organizational, and teamwork skills.
Presented at GEO London 2015: To make smarter recommendations related to your share plan, you’ve got to crunch the numbers. And when it comes to numbers, there are best practices which our panelists will share. These companies bring an unparalleled level of sophistication and dedication to financial reporting vis-a-vis their global share plans. Discover how the issuers rely on systems automation to produce numbers they can rely on — and how that information fuels smarter business decisions and greater organisational value. Come away with a checklist that can steer your next conversation with your CFO.
Presented at GEO London 2015: To make smarter recommendations related to your share plan, you’ve got to crunch the numbers. And when it comes to numbers, there are best practices which our panelists will share. These companies bring an unparalleled level of sophistication and dedication to financial reporting vis-a-vis their global share plans. Discover how the issuers rely on systems automation to produce numbers they can rely on — and how that information fuels smarter business decisions and greater organisational value. Come away with a checklist that can steer your next conversation with your CFO.
Are you taking a share purchase plan global? Get perspectives from the front lines - on compliance, communicating, admin considerations.Global stock polan veterans Kinross and Broadcom tell how they earned their stripes in this presentation featured at GEO Miami 2014!
Are you taking a share purchase plan global? Get perspectives from the front lines - on compliance, communicating, admin considerations.Global stock polan veterans Kinross and Broadcom tell how they earned their stripes in this presentation featured at GEO Miami 2014!
MBA (Finance) experienced in Corporate Accounts and Audit with SAP knowledge seeks senior managerial assignments in Accounts / Audit with reputed organization.
1. +91-9167279354
F-16,C-24 LIC
casudhanshuarora@gmail.com
Sudhanshu Arora
Career Objective
Seeking a challenging role with an organization, that offers me opportunities for developing my analytical &
technical skills and helps me to contribute towards organizational success.
Professional Experience
Axis Bank Ltd., Mumbai (Nov 2014 - Present)
Role: Manager- Governance
Key Responsibilities:
• Assisted in the preparation of various reports on Capital Adequacy, Liquidity and Banking Group Return of
the Bank.
• Preparation and submission of Intra group exposure report to RBI.
• Automation of various reports prepared manually by Bank for submission to RBI.
• To handle all Compliance related mainly to Company Law, RBI, Stock exchange (BSE/NSE).
• Corporate with ADF team and enhance submission of RBI report in Auto mated flow (ADF).
• Prepare and publish performance review report of the subsidiaries to the senior management.
• Updating senior management about every significant event along with its impact.
• Understanding and analyzing the circular issued by various regulators and communicating impact of the
same to the respective subsidiaries of the Bank and ensuring compliance.
• Reporting to senior management regarding any significant event along with its impact.
• Preparation for Balance Sheet, P/L, notes to Accounts and assist Department Head, ensuring compliance
with Accounting Standards, circulars and notifications issued by RBI.
• Control and corroborate the report contents, completing the control checklists and being mindful of the
risk assessment associated with every return.
• Perform the production and support the further development of several Group regulatory reports.
• Preparation of data for RBI Inspection and Audit.
Motilal Oswal Securities Ltd., Mumbai (Feb 2013 –Oct 2014)
Role: AM-Compliance
Key Responsibilities:
COMPLAINCE
• Effectively handled various Inspection conducted by regulators (SEBI,NSE,BSE,MCX,NCDEX & CDSL)
• Effectively handled SEBI Sub broker Inspections.
• Design, create and update compliance forms and policy documents.
• Review and update compliance manual policies and procedures to comply with all securities laws,
regulations.
• Handling all Compliances related to SEBI and various Exchanges in Cash, F&O and Currency Segments.
• Evaluated internal controls and anti-money laundering compliance programs.
2. INTERNAL CONTROL
• Reviewed various process such as equity/commodity margin reporting, Surveillance of suspicious
transactions, Anti money laundering etc as a part of Internal control so as to adherence compliance as per
rules & Regulations.
• Complete risk assessments in order to develop policies to minimize risk exposure and escalate accordingly
LEGAL
• Drafted various legal reply regarding Investor complaints received by company.
• Represented company in various arbitrations / IGRP hearing conducted at NSE, BSE & SEBI.
• Coordinating with legal counsels and advisors & attending court matters.
• Preparing and maintaining database and MIS of the legal matter
Qualification
YEAR COURSE BOARD/UNIVERSITY PERCENTAGE
2012 CA ICAI 51%
2010 B.COM(H) Jai Narayan Vyas University 63%
2007 12th
Rajasthan Board 70%
Articleship Experience
Worked as an article assistant under Brij Kishore Arora & associates for three and half years:
• Extensive experience in statutory audit of private limited companies.
• Assisted in bank branch audits for PSU banks and co-operative banks.
• Handled tax audits u/s 44AB of the Income Tax Act, 1961 for various private limited companies.
• Handled return filing & associated matters in respect of state VAT.
Achievements
• Cleared following NISM certification courses:
NISM Series I Currency Derivatives Certification Exam
NISM-Series-III A Securities Intermediaries Compliance Certification Exam
NISM-Series-VI Depository Operations Certification Exam
NISM-Series-VII Securities Operations and Risk Management Certification Exam
NISM-Series-VIII Equity Derivatives Certification Exam
• Awarded as Super Achiever twice for showing outstanding performance
Interpersonal and Technical Skills
• Excellent interpersonal skills, ability to multitask, organized and systematic in approach.
• Great team player as well as an Independent Contributor.
• Good grab of MS office.
3. Extracurricular Activities
• Completed 15 days General Management and Communication skills training organized by I.C.A.I.
• Completed 100 hours Information Technology Course conducted by I.C.A.I
• Participated in various debate competition conducted by All India Radio.
Personal Information
• Date of Birth : 7th
Mar 1989
• Father’s Name : Mr. Ram Gopal Arora
• Mother’s Name : Mrs. Sangeeta Arora
• Native Place : Jodhpur, Rajasthan
• Marital Status : Single