Jul 2024 – Present · 1 yr 8 mos · Noida · On-site

• Steering the group level compliance strategies to build a robust and resilient compliance function. Working in close reach with the Founders and Board, the role broadly involves designing processes and building necessary infrastructure to ensure that the organisation adheres to regulatory requirements and internal policies. Key focus remains on assessing and managing the company’s regulatory, legal and compliance risks by determining potential compliance issues and developing strategies to mitigate them. Being a financial services group regulated by SEBI and to some extent by RBI, the role extends to fostering business partnerships by ensuring fair practices, KYC-AML compliances and transparent product structures for consumer protection and awareness.

Feb 2022 – Jul 2024 · 2 yrs 5 mos · Chennai, Tamil Nadu, India · On-site

• As AVP-Compliance, I lead the team for ensuring all statutory compliances as applicable to a systemically important NBFC (Middle Layer) under the RBI Regulations. Being a High Value Debt Listed entity (HVDLE), the compliance function also covered compliances with securities / capital market laws for its day to day transactions and capital market fund raise events. Besides this, I played an active role in managing the group corporate governance matters such as RPT framework, PIT compliances, CSR (with ESG team), corporate restructuring (Acquisitions and Demerger), etc. The role provided added exposure into advisory wherein I handled various queries on different corporate, financial and securities law for our internal team, business partners, etc. for their due diligence, product discussions, KYC-AML process design & advisory, automation projects w.r.t. compliance, and routine transactions. Leading a team of 8-10 people throughout the tenure provided me opportunity to constantly work on effective L&D programs and undertake training sessions for them. Overall the goal was to ensure the entity remains compliant with all laws applicable to it on both statutory reporting and business compliances.

Sep 2020 – Mar 2022 · 1 yr 6 mos · Delhi, India · On-site

• Served as resident director on the Board of Fitbit India (WOS subsidiary - A Google group entity) and advised it for its corporate legal matters, including foreign exchange matters.

Feb 2017 – Sep 2018 · 1 yr 7 mos · On-site

• Responsible for handling the routine corporate advisory and compliances for retainership clients as well as walk-ins. The major chunk of work is on advising and opining clients on various issues of interpretation of provisions of Companies Act, 2013, SEBI and FEMA laws. Also I am a part of the financial team here and responsible for looking after NBFCs related matters and related consultancy.

Jul 2016 – Jan 2017 · 6 mos · On-site

Feb 2016 – Jun 2016 · 4 mos · On-site

Oct 2015 – Jan 2016 · 3 mos · Delhi, India · On-site

• I have been responsible for dealing with clients, handling independent audits and meetings, liasioning with authorities and handling the queries posted by users on the website of our firm – www.bsamrishindia.com. The scope of work does not merely includes the company secretarial work related with Companies Act but also extends to undertaking assignments dealing with the other Indian Corporate Laws such as FEMA, Listing Agreement, Trademark & Patent, etc.
• Major Assignments undertaken so far Routine Assignments –
• Secretarial Audit of Unlisted Public Company engaged in Civil Aviation Business
• Due Diligence of Private Company pursuant to acquisition scheme
• Increase in Authorised Capital & Private Placement
• E-Voting Execution & Report Submission
• Shifting of RO (Within City & Inter-state)
• Company & LLP Incorporation
• Routine Assignments –
• Drafting of Compounding Applications and following matters of hearing thereof
• Listed Company Quarterly Compliances
• Drafted several Loan Agreements including Guarantee Deed and Share Holder Agreement
• Depositary Participant Audit (DP Audit)
• Drafting of Notices, Minutes, Agenda for meetings as per Secretarial Standards
• Handling routine work for Retainer-ship Clients; and many more.

Jul 2014 – Oct 2015 · 1 yr 3 mos · Delhi, India · On-site

• My training helped me learn and gain skills in the field of consultancy services related to legal and secretarial matters under the corporate laws of India. It was a time which posed me with patience and preservance in discharging my responsibilities with respect to the various company form filing, drafting, pleading & apppearances before authorities viz., ROC, RD (North), CLB etc.

Jan 2013 – Dec 2013 · 11 mos · Jaipur · On-site

• Business Development by seeking new business from the vendors and raw market. Also assisting in recruitment process for selection of candidates for different job profiles from different sectors viz. hospitality, BPO, ITeS, Real Estate, Banking &Finance, etc.

Jun 2011 – Sep 2011 · 3 mos · Jaipur · On-site

• My responsibilities as a Front Desk Officer at Jai Niwas (sister property of Arya Niwas) included managing reservations, guest check-in/check-outs, handling petty cash book, guest account ledgers, supervising the daily exercises for upkeep of hotel facility, managing the staff and assigning their roles and duty shifts, etc.