AVP – CS, Legal & Compliance at MAVENARK ADVISORS PVT LTD (2026-07 – Present)
- Leading Secretarial, Legal and Compliance functions across group entities.
- Advising leadership on Board matters, regulatory and governance matters
- Contract review and management
- Strengthening internal compliance frameworks across businesses
MANAGER - Membership Department at METROPOLITAN STOCK EXCHANGE OF INDIA (2025-01 – 2026-07)
- Manged regulatory approvals for various member applications such as admission, surrender, post registration changes such as change in control, Directors/Shareholders etc. and supervised team activities and ensured adherence to regulatory timelines.
- Track compliances of Stockbrokers such as AI/ML, Networth Submission, Annual Return, Change in Compliance Officer, Principal Officer (FIU-IND), Website maintenance, Associate Companies, Bank account Undertakings etc.
- Review and issue circulars & Master circular & SOP for Membership team
- Prepare Agenda and Minutes for Internal Committee meetings on quarterly basis.
- Represented the department in SEBI, inter-exchange and internal regulatory forums.
- Led regulatory reporting, audits and inspection support for SEBI and other statutory authorities.
- Oversaw regulatory monitoring, compliance implementation and governance initiatives for membership operations – monthly and quarterly
- As part of Regulatory team, monitor Trade details of employees quarterly and liaison with other Exchanges for inter-Exchange compliances.
- Key Deliverable – Handled the development and co-ordination of UPI ID Portal on behalf of MSE single handedly as per SEBI requirements
ASSISTANT MANAGER - Membership Operations & Compliance at BSE LIMITED (2024-08 – 2025-01)
- Managed registration and licensing processes for Investment Advisers and Research Analysts.
- Liaised directly with SEBI officials for regulatory approvals and compliance matters.
- Reviewed advertisements and regulatory submissions under SEBI IA & RA Regulations.
- Supported operational improvements in Membership Operations and Regulatory Compliance.
- Key Deliverable – Handled development of RA advertisement portal
SENIOR EXECUTIVE & CS/CO OF Mirae Asset Capital at MIRAE ASSET CAPITAL MARKETS PVT. LTD (2019-03 – 2024-07)
- Managed Secretarial and Compliance functions across Stock Broking, Merchant Banking and Research Analyst businesses including but not limited to conducting Board and Committee Meetings, preparing statutory documentation and ROC filings.
- Handling Stock Broking, Merchant Banking and Research Analyst Compliances as per SEBI regulations along with Adhoc compliances.
- Drafted governance policies, SOPs and regulatory documentation.
- Managed Insider Trading Compliance framework - Handling of Insider Trading System, it's compliances and related queries.
- Handling Inspection and Audit (Exchange mandated and Internal) related matters and queries.
- Served as the primary liaison among SEBI, Exchanges, Consultants and Business Teams.
- Key Deliverable - Assisted as CS & Compliance officer during the Merger of Mirae Asset with Sharekhan.
EXECUTIVE (MERCHANT BANKING) at CHOICE CAPITAL ADVISORS PVT. LTD (2015-08 – 2019-03)
- Handled SME IPO's for Companies in various Industries (End to End) including but not limited to Due Diligence and drafting of Prospectus.
- Assisted on Main Board IPO at Due Diligence and Listing Stage.
- Drafting of various certificates and Information Memorandum, Offer letters and reviewing advertisements of IPO.
- Assisted in Scheme of Reduction of Capital and Merger – Vetting the scheme, drafting Notices, advertisement etc.
- Drafting and review of Notices, Agenda, Minutes for Client Companies.
- Co-ordination with all teams involved in transaction.
- Handling Compliances and SEBI submissions for Merchant Bankers.
- Assisted in engaging and Operations and Management Partner for a government undertaking, drafted the Request for Proposal and advertisement.
CS INTERN at J R AHUJA & CO. (2015-02 – 2015-08)
- Drafting agenda, notices and Minutes for Board and Shareholders meetings of client companies.
- Tracking Compliance Calendars of all Client Companies.
- Handled Rights Issue, Preferential Issue of Client Companies.
- Maintenance of Statutory registers of Client companies.
- Filing forms on MCA for client Companies.
- Trademark Registration for clients.
- Visiting Income Tax Office, RoC, Registrar of Firms etc for Client Companies and their matters.
- Assisted in Secretarial Audit of a Listed Company.
