Pooja Singh

Dynamic Compliance & Legal Professional with expertise in Corporate Compliance, SEBI Regulations, Stock Exchange Compliances, ROC Filings, and Corporate Governance. Skilled in shareholding restructuring, preference share allotment/redemption, director appointments/resignations, and regulatory filings. Adept at ensuring 100% regulatory adherence, coordinating audits, and liaising with NSE, BSE, NCL, and ROC.

Proven ability to manage compliance timelines and deliver audit-ready documentation in high-pressure environments.

Compliance Officer - Practical Financial Services Pvt Ltd

(2025-02)

• Directed compliance under SEBI Regulations, Companies Act, 2013, and Stock Exchange frameworks.
• Executed shareholding restructuring transactions, ensuring approvals and statutory closure.
• Managed preference share allotment/redemption filings (MGT-14, PAS-3, SH-7).
• Oversaw compliance for director/Compliance Officer changes with MCA & exchange filings.
• Drafted and finalized Board Notices, Agenda, Minutes, Resolutions.
• Implemented SEBI circulars and exchange directives across operations.
• Coordinated internal audits, compliance reviews, and reporting submissions.

Compliance Executive - CS Kruti and Company

(2024-06 - 2025-02)

• Assisted clients in obtaining SEBI registrations (Research Analyst, Investment Adviser).
• Conducted regulatory research and interpreted SEBI circulars/notifications.
• Drafted/reviewed compliance policies, agreements, and submissions.
• Performed Audit of Research Analyst, ensuring adherence to SEBI guidelines and compliance standards.

L.L.B - Mumbai University (2024)

B.COM. - Bachelors in Commerce - Mumbai University (2018)