Kiran Sawant is a Chartered Accountant with over 15 years of experience in compliance, process management, risk management, and client servicing across the capital markets, banking, and finance sectors. He has worked at the National Stock Exchange for over 5 years ensuring compliance with SEBI and exchange rules and regulations. Prior to that, he worked at the Development Credit Bank reviewing controls and risk mitigation processes. Currently, he has over 5 years of experience as a Compliance and Operations Manager.

1. Kiran Sawant – Career Profile
Chartered Accountant, with 15+ years’ experience in the fieldof Compliances, Process management, Process reviews,Risk
Management, and Client Servicing.
Compliance and Operations Manager with 5 years in Capital Markets, 8 years in Banking Sector and 4 years inFinance Sector.
Qualifications: (Academic & Other certifications/ memberships):
•CA
•Green Belt Sig Sigma
•B. Com, Mumbai University
Relevant Experience
Worked at National Stock Exchange for 5+ years and was responsible for:
Maintenance and reviewof policies,procedures and practices to ensure compliance with all SEBI and Exchange rules,regulations
and Bye Laws.
Coordinating with SEBI for providing inputs related to consolidation in broking industry, governance norms for stock brokers
Ensuring Compliance requirements of stock brokers are adhered and taking disciplinaryaction if required by placing it before the
appropriate authority
Prior to NSE, I have worked with Development Credit Bank for 2+ years in Process Management Unit. Where in I was responsible for
reviewingexisting controls, analyzing impact of failuresand placing adequate control measures which are manual / system driven to
ensure potential risks are mitigated and ensure compliance as per RBI norms

2. I have also worked with ICICI Bank as a Manager in International Banking Operations Group, and was instrumental in handling the
International Banking Operations Group (IBOG) involvinginward remittances for private international clients. Tracking suspense
accounts and accredited with additional responsibilityof generating daily and monthly MIS on STP/NSTP, Operations and error MIS for
Inward Remittances
Prior to ICICI Bank, I have worked with financial institutions like American Express Bank, IL & FS Property Management &Services ,
Standard Chartered Bank.
Thanks& Regards,
Kiran Sawant