Rohit Prajapat

Compliance Officer

Gandhinagar, Gujarat, India5 yrs 3 mos experience

Most Likely To Switch

Key Highlights

Expert in compliance with IFSCA regulations.
Strong background in corporate governance and legal compliance.
Proven track record in managing statutory compliances.

Stackforce AI infers this person is a Compliance Specialist in the Fintech industry with a strong focus on regulatory frameworks.

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Skills

Core Skills

Compliance ManagementRegulatory ComplianceCorporate GovernanceCompany LawLegal Assistance

Other Skills

Companies ActCompany Secretarial WorkFiling of e-FormsGovernanceHigh-Frequency TradingIFSCALegal ComplianceLegal ResearchMicrosoft OfficeROCSEBI RegulationsSEZSecretarial AuditSmart MeteringStatutory Compliances

About

Rohit is Company Secretary having core in the field of Compliance, Corporate Governance, Legal Sectorial, and Managerial Activities, Moreover, he is having good hands on Secretarial Activities w.r.t. The Companies Act, 2013 and Securities and Exchange Board of India (LODR), 2015. He is currently working with FinTech Company named In-Solutions Global Limited in GIFT City Gandhinagar. He had undergone Training with Quadrant Televenture Limited (Company of Videocon Group), Company registered with Bombay Stock Exchange.

Experience

In-solutions global ltd

Compliance Officer

Sep 2023 – Present · 2 yrs 6 mos · Gandhinagar · On-site

Ensured compliance with IFSCA FinTech/TechFin Framework, SEZ Rules, and gained functional understanding of FME regulations.
Liaised with IFSCA licensing for approvals & setting up unit in IFSCA & GIFT SEZ, Development Commissioner Office, IBU units for account opening.
Handled SEZ Periodic compliances including MPR, SERF, DTA, DSPF, and customs-related documentation.
Attended and secured approvals in Unit Approval Committee (UAC) meetings conducted by IFSCA for changes in directors, shareholders, and other material assignments.
Managed offsite supervision submissions, internal audit documentation, and Annual Performance Reports (APR) to SEZ Authorities.
Ensured AML/CFT regulations and reporting in Annexure-I & II, and enhanced due diligence measures maintained regulatory registers.
Implemented compliance frameworks, grievance redressal mechanisms, and monitored regulatory changes for timely action in FinTech license.
Provided required data and documents to IFSCA, including geographic business details, business plans, and technical information as requested.

GovernanceSEZIFSCACompliance ManagementRegulatory ComplianceLegal Compliance

Apt portfolio private limited

Designated Officer/Company Secretary

May 2021 – Sep 2023 · 2 yrs 4 mos · Gandhinagar, Gujarat, India · Hybrid

Compliances related to Quarterly & Half year based to NSE & BSE (ENIT & BFES) on behalf of the Stock Broker (HFT) (Internal Audit report, Cyber Security report, System Audit, Net Worth Certificate, RBS, Stock Broker Policy & etc).
Drawing Back Stamp Duty for Futures & Options according to GIFT City Guidelines.
Laisioning with GIFT City Authorities, Revenue Department, Gujarat for other ancillary work.
User ID’s related work on ENIT & Obtaining TPS session for trading.
Updating the knowledge from circulars from BSE NSE.
Routine Compliance related to NSE & BSE, MCA under the Companies Act. 2013.
FLA return.

Statutory CompliancesCorporate GovernanceLegal ResearchCompany Secretarial WorkCompanies ActROC+1

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Company Secretary Trainee (Quadrant Televentures Limited, Videocon Group)

Apr 2019 – Nov 2020 · 1 yr 7 mos · Pune Area, India

Appointment and resignation of Directors, Key Managerial Personnel’s and other related compliances.
Shifting of the registered office state to state/city/outside city but in local limits of state.
Filing of various e-Forms as required under the Companies Act, 2013.
Solely handled Annual Filing Compliances of Private & Public Companies.
Transfer of shares, duplicate share certificate and share transfer deeds.
Actioned & Co-ordinated with periodic Compliances on Stock Exchange namely BSE, NSE.Preparation of Compliance Certificates, Board Reports, etc.
Drafting & Alteration of Memorandum of Association and Articles of Association of the Company.
Preparation and Maintenance of statutory registers, minutes (BM/AGM/EGM/NRC/AC) etc.
Appointment of Statutory Auditors, Cost Auditors, Internal Auditors and Secretarial Auditors for the company.
Co-ordination for Secretarial Audit, Compliance Certificate & MGT-8 with Practicing Company Secretary.
Assisted Preferential Allotment and Private Placement of Shares.
Incorporation of Company under e-Form Spice 32.
Increase in Authorized Capital.
Right issue.
Other e-forms like DIR-3 KYC, INC-22A, INC-20A etc.
Assisted in Revival & striking off of Companies.
Creation and registration of charges including satisfaction.
Insertion (Appointment) of Directors from the back-end.
Issuance/ Surrender of DIN, alteration of particulars of Director.