Senior Executive - Corporate Compliance - Tribhovandas Bhimji Zaveri Limited (TBZ) - Mumbai, Nariman Point
(2025-09)
- Managed Board level Committee meetings including preparation of agendas, notices, minutes, and follow-ups for Stakeholders Relationship, CSR, Audit, and Nomination & Remuneration Committees.
- Developed and implemented corporate compliance programs to ensure adherence to SEBI and MCA regulations, reducing compliance risks.
- Oversaw SEBI LODR regulations compliance including Reg 30 disclosures, website compliances, and statutory filings with stock exchanges(BSE & NSE)
- Coordinated company secretarial functions such as filings under the Companies Act 2013.
- Created and maintained MIS/tracker systems for comprehensive compliance monitoring, ensuring timely compliances in due course of time.
CS Management Trainee - The Indian Hotels Company Limited (Taj Group)
(2024-02 - 2025-06)
- Handling Board level Committee meetings which included Stakeholders Relationship Committee, Corporate Social Responsibility Committee, Audit Committee and Nomination and Remuneration Committee by: Preparing Agenda, Notice of Meetings, Draft Minutes, Minutes Circulation and recording of minutes.
- Handled corporate actions (Increase in Authorized Share Capital, Rights Issue for subsidiaries).
- Filings with MCA and compliances under Companies Act, 2013.
- Stock exchange filings with BSE & NSE as and when required.
- Annual Declaration of Directors as required under Companies Act 2013 & SEBI regulations.
- Compliances under SEBI LODR Regulations ie; website compliances, Reg 30 disclosures, newspaper compliances and audio/video recording of proceedings of calls/meetings.
- Preparation of Boards Report, Corporate Governance Report and AGM related filings.
- Ensure proper maintenance of statutory registers.
- Drafting of response to queries of Regulatory Bodies.
CS Management Trainee - HDFC Asset Management Company Limited
(2023-04 - 2024-01)
- Managed SEBI (PIT) Regulations, including amendments to the Code of Conduct.
- Maintained Designated Persons List, enforced trading restrictions, calculated penalties, and handled pre-clearances.
- Responded to regulatory queries and handled Ad-hoc data queries.
- Compliances related to NFO (New Fund Offers), NAV (Net Asset Value), SEBI Data compliances for open ended and close ended schemes.
- Updation of significant and important documents on a timely basis ie; SID, KIM, SAI (Scheme information document, Key Information Memorandum, Statement of Additional Information).
- Creation and updation of MIS/tracker/checklist for all compliance monitoring.
