Ashish Rathi

Board level Executive & Risk, Compliance and Operations Leader, with a deep understanding and experience of the dynamics associated in building and scaling of a Capital Markets Institution from ground up, over a span of 2 decades at HDFC Securities. Recognized as a thought leader that has successfully driven & strategized business goals that include leveraging technology and automation for acquiring/managing large customer base, handling complex client litigations and managing Exchange, Insurance and NPS related compliances (SEBI, PFRDA) for HDFC Securities. Current role: Since 2017: As Board of Member & Whole Time Director at HDFC Securities, Owns the mandate to drive short term & long-term business operational strategies that includes Governance, Policy and Processes, Regulatory aspects to ensure that company continues to provide seamless services to customers across PAN India which resulted in increasing profitability and revenue. Career Snapshot: ► Whole time Director & Member of Board, HDFC Securities (Current Role) ► Senior VP & Head, Risk & Compliances, HDFC Securities ► Head, Risk & Compliances, HDFC Securities ► Audit Clerk, Audit & Advisory Services, Ernst Young (EY) Industry Thought Leadership, Memberships & Associations: ► Member of Industry Standard Forum Brokers, Governing Board Member of BSE Brokers Forum, Co-opted Member of Association of Nation Members of India. ► As a thought leader, moderated seminars for participants & officials from NSE, BSE & senior industry veterans ► Served as a faculty lecturer at Sydenham college on “Basics to Financial Markets”. ► Conducted training programs for GSFC senior officials on investing in Capital Markets. ► Represented HDFC Securities for meeting on important regulatory / risk-based issues with SEBI / Stock Exchanges. Experience Landscape across HDFC Securities: ► Handled Media Interactions ► Successfully led the Automation of operation processes which included directing and providing inputs to technology teams for platform building and scalability. ► Implemented Robotic process automation saving man hours every day. ► Liaised with SEBI and regulators to ensure a robust framework for delivering regulatory implementations.  ► Developed entire risk management framework for HDFC Securities & monitoring on a continuous basis. ► Led compliance framework development mandate to develop policies and processes to ensure robust implementation. ► As Member of Investment committee evaluate & approve investments in start-ups and other ventures which could be strategic in nature.