Mohit Gupta

Scaling new heights of success with hard work & dedication and leaving a mark of excellence on each step in a reputed organization that offers growth opportunities and where I can utilize my skills and abilities to justify myself.

Company Secretary & Compliance Officer - Unidel Group of Companies (India, Japan, USA & Singapore)

(2024-12)

Managing statutory compliance across multiple jurisdictions including India, USA, Singapore, and Japan. Handling RBI filings, MCA/ROC statutory forms, and international company compliances.

• Closure Reporting with RBI for USA and Europe based WOS Company
• Filing with RBI: Form FC-GPR for reporting Foreign Direct Investment
• Filing with RBI: Form FC-TRS for reporting for transfer of Shares
• Foreign Liabilities and Assets Annual Return
• Annual Performance Report
• Filing of MCA/ROC statutory forms & annual returns, ensuring accurate and timely regulatory reporting
• Managed statutory compliance under the Singapore Companies Act, including preparation and filing of annual returns and ensuring alignment with ACRA regulations
• Coordinated Business Profile updates on ACRA's BizFile portal
• Share Buyouts, Directors Addition/Removal under Singapore Company Law
• Ensured POEM (Place of Effective Management) compliance for Singapore entity: monitored board meeting locations, decision-making locus & control points, organizational structure to align with taxation and regulatory requirements
• Beneficial ownership information reporting with FinCEN (Financial Crimes Enforcement Network)
• Coordinated with external agencies and consultants towards updating Business Profiles with State of Nevada, Delaware, California and Connecticut
• Coordinated setup of a Japanese WOS/branch office: legal entity choice, registration, documentation
• Managed all incorporation paperwork
• Managed ESOP grants, vesting, and exercise processes
• Maintained ESOP records & documentation
• Coordinated ESOP policy, legal and tax compliance
• Prepared ESOP-related reports & communications
• Drafting of Gratuity Trust Deed & Supporting documents
• Coordinated with external agencies and consultants for IPR applications, registrations, and opposition proceedings
• Delivered training sessions to employees for awareness and understanding of intellectual property rights
• Maintained and regularly updated the company's IPR registry/data base (Patents, Trademarks and Copyrights etc.)
• Handled legal responses to oppositions filed by or against the organization under IPR laws
• Handling of HR and Admin Due Diligence Audit
• Co-ordinated in ISO 27001 Audit
• Drafting and Vetting of NDA, Buyout Agreements, Service Agreements and MOU
• Meetings Convened regular / cross-jurisdictional board meetings- India, Singapore & USA: prepared agendas, issued notices, ensured quorum and compliance with local company laws

Company Secretary & Compliance Officer - Electro Solaire Private Limited (Engie India Group), Pune - Pune

(2022-12 - 2024-10)

A Wholly owned subsidiary of Engie Solar Group, a French Multinational Company listed on the Euronext exchanges in Paris and Brussels. Managed all statutory and regulatory compliance matters.

• Dematerialization of Equity Shares of the Company(s) pursuant to MCA notification dated October 27, 2023
• Facilitating Board Meetings, Annual General Meetings (AGMs), Extra-ordinary General Meetings (EGMs) and Committee Meetings
• Ensuring the filing of various documents or returns with Registrar of Companies
• Facilitating and securing Bank Financing including charge/mortgage creation
• Drafting & vetting of Commercial Agreements
• Maintaining the statutory registers

Company Secretary & Compliance Officer - Immunoscience India Private Limited, Pune - Pune

(2020-11 - 2022-11)

A Subsidiary of Immunoscience Inc. USA. Managed constitutional documents, regulatory compliances, and FDI matters.

• Drafting & vetting of constitutional documents such as Memorandum, Article of Association, investment agreements, service agreements, MOUs, NDAs etc.
• Ensured regulatory compliances under FEMA and other RBI regulations
• Dealing and Coordination between RBI and AD banks in connection with FDI
• Facilitating and securing Bank Financing including charge/mortgage creation

Company Secretary & Compliance Officer - Cosmo Granites Private Limited, Chennai - Chennai

(2019-07 - 2020-07)

Managed fundraise activities and FDI compliances for the organization.

• Independently managed the Fundraise activities including managing the Investor Due Diligence and ensuring communication with the investors and key stakeholders
• Dealing and Coordination between RBI and AD banks in connection with FDI
• RBI compliances pertaining to the Foreign Shareholding (FDI)

Audit Executive - M/s. SVD & Associates, Pune - Pune

(2017-02 - 2019-06)

Conducted secretarial audits and prepared compliance reports for listed and public companies.

• Secretarial Audit of Listed Companies, SME Listed Companies & Public Companies and Private Companies u/s 204 of the Companies Act 2013
• Drafting of MR-3 & Annual Secretarial Compliance Report of Listed Companies
• Assisted in preparing scrutinizers Report for General Meetings of Listed Companies and Public Companies Pursuant to Section 109 of the Companies Act, 2013 and Rule 21(2) of the Companies (Management and Administration) Rules, 2014 and, Section 108 of the Companies Act, 2013 and Rule 20(4) (xii) of the Companies (Management and Administration) Rules, 2014 (Amendments Rules 2015)
• Assisted in preparing report on Voting Process of the Postal Ballot and Voting through electronic mode

Management Trainee - Corporate Legal Consulting Private Limited, Pune - Pune

(2015-02 - 2016-09)

Handled company incorporation and compliance matters for various entity types.

• Incorporation of Public Company, Private company, Farmer Producer Company and Section- 8 Company and LLPs
• Preparation of AOC-4 XBRL IND-AS and MGT-8 for Listed Companies, Public Companies and Private Companies
• Increase in the Authorized capital of Public & Private Company
• Shifting of Public Company's Registered office from one state to another state
• Allotment, Transfer & Transmission of Shares of Public & Private Company

Company Secretary - Company Secretaryship - ICSI (2016 - 2016)

Bachelor of Business Administration - Business Administration - University of Rajasthan, Jaipur (2010 - 2010)