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