Gaurav Khot

Manage depository services and regulatory compliance including SEBI regulations, KYC verification and compliance monitoring; handle regulatory submissions and internal/exchange queries to ensure adherence to AML and depository standards.

Completed NISM Series VI and Series VII certifications covering depository operations and securities operations & compliance; contributed to compliance reporting and risk management activities.

Performed audit and assurance tasks within compliance, supporting regulatory inspections and concurrent audits across departments and coordinating compliance calendar activities.

Led compliance functions including trade surveillance audits, KYC and DP department audits, AML checks, margin reporting and supervision enhancements across authorised persons and sub-brokers.

Handled transmission, DIS/pledge processing, dematerialization and daily reporting of bank balances and holdings to exchanges to maintain operational compliance.

Audited e-KYC forms, led a team validating individual and non-individual KYC submissions and coordinated with KYC department for remediation and process improvements.

Oversaw branch operations and PAN India documentation updates, resolved inter-branch queries and coordinated compliance-related processes across branches.

Executed KYC onboarding and verification processes, ensuring accurate documentation and compliance with KYC and AML requirements.

Managed KYC department activities including customer verification and KYC process adherence to reduce onboarding errors and ensure regulatory compliance.

Completed a Master of Arts in English from the University of Mumbai in 2015.

Completed a Bachelor of Arts in English from the University of Mumbai in 2013.