Divy Tongiya
@divytongiya
Compliance consultant focused on regulatory reporting, trade surveillance, and AI-driven operational excellence.
IndiaWhat I'm looking for
I’m a compliance professional and operations consultant with 5 years of experience building compliance, governance, and operational excellence across financial services and business consulting. For 4 years, I worked at two leading Indian capital market institutions—National Stock Exchange (NSE) and ICICI Securities—handling regulatory compliance, market surveillance, regulatory reporting, and operational risk in highly regulated environments.
My work spans compliance monitoring, trade surveillance and market abuse monitoring, investigation of market alerts, governance framework development, policy documentation, regulatory inspections, and operational risk assessments. I partner across Compliance, Operations, Business, and Technology teams to strengthen internal controls, improve reporting accuracy, and support regulatory obligations.
Alongside institutional experience, I consult independently with early-stage businesses to establish operational processes, governance frameworks, and compliance foundations for scalable growth. I’m also actively focused on leveraging AI to modernize compliance operations—using tools like ChatGPT and Claude to accelerate research, streamline reporting, and automate repetitive workflows.
Experience
Work history, roles, and key accomplishments
SME Operations & Compliance Consultant
Freelance
Feb 2026 - Present (5 months)
Independent consultant for newly established SME businesses to architect their operational and compliance frameworks, including governance and internal controls. Provides compliance foundations to support scalable growth.
Independent consultant for newly established SME businesses to architect their operational and compliance frameworks.
Worked on regulatory compliance and operational risk activities in a highly regulated capital markets environment. Supported regulatory obligations through governance, monitoring, and reporting-related work.
Supported regulatory compliance and operational risk initiatives in a regulated capital markets setting. Helped strengthen internal controls and support regulatory reporting and monitoring activities.
Worked in regulatory compliance and market surveillance-related responsibilities within a highly regulated capital markets environment. Contributed to regulatory reporting and operational risk-related activities and internal control strengthening.
Sales and marketing internship supporting day-to-day activities at Swastika Investmart Limited.
Digital marketing internship supporting digital marketing-related tasks at Indira Securities P.Ltd.
Internship at Kimirica Hunter International supporting internal work during the internship period.
Internship at Karvy Stock Broking supporting internal tasks during the internship period.
Education
Degrees, certifications, and relevant coursework
National Institute of Securities Markets (NISM)
Masters of Business Administration - MBA, securities markets
2020 - 2022
National Institute of Securities Markets (NISM)
Master of Business Administration (MBA), Securities Markets
2020 - 2022
Completed an MBA in securities markets at the National Institute of Securities Markets from 2020 to 2022.
Symbiosis University of Applied Sciences
Bachelor of Business Administration - BBA, Banking
2017 - 2020
Availability
Location
IndiaAuthorized to work in
Social media
Job categories
Skills
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