Yashaswini Verma

A detail-oriented professional offering about 4 years of post-qualification experience consisting of an experience in Stock Exchange, Corporate Secretarial and Compliance and Risk and internal control function with one of the Big-4s in India. Currently working with Bombay Stock Exchange as a Deputy Manager in Listing Compliance (Post Listing – Equity Monitoring). Reviewing the post listing compliances of listed entities w.r.t SEBI LODR, 2015.

Capable of independently managing, prioritizing and leading the assignments and addressing ambiguity. Expert in MS Word, Power point and a highly motivated professional with excellent communication, courtesy, patience, problem-solving capabilities. Knowledge of Companies Act, SEBI LODR (Equity), BRSR & ESG Framework, Drafting of Reports, ESOPs, Insider Trading, etc.

Deputy Manager - Bombay Stock Exchange

(2025-09)

Reviewing the post listing compliances of listed entities w.r.t SEBI LODR, 2015.

• Actively participating in regulatory meetings w.r.t PIT regulations, Market practices on Insider Trading, SEBI LODR development work
• Handling the Automation of contra-trade monitoring under PIT Regulations along with trading development and surveillance teams of BSE and other Market Intermediaries (NSE, MSEI, NSDL & CDSL)
• Development of XBRL in co-ordination with NSE for alignment of interest for mutual funds ('skin in the game'); Code of Conduct Violations under PIT Regulations, Single filing API for multiple filing under SEBI LODR regulations; parallelly issuing stock exchange circulars in this regard
• Collating data from companies and examining their compliances to address SEBI queries pertaining to investigations, frauds and investor complaints
• Development of BRSR Alerts to enable monitoring of BRSR provisions by BSE, Active participant in handling queries from SEBI and other regulatory bodies for development of BRSR compliances and market practices on the subject
• Periodical review of Reg 34 (Annual Report), Reg 43A (Dividend Distribution policy), Reg 24A (Annual Secretarial Compliance report); PIT Regulations (Coc Violations, Trading window closure etc.)
• Conducting SDD inspection for listed entities

Senior Executive - Deloitte Shared Services India LLP

(2023-06 - 2025-09)

• Reviewing the financial relationships, accuracy of GIMs account
• Independence check of New Partners including family employment details, financial interests and relationships as per applicable policies
• Detecting and raising violations w.r.t SEC / National Regulatory (Companies Act, 2013, Insider Trading regulations), National Professional Rules (ICAI Code of Ethics), IFAC Code of Ethics, DPM Policy, Local Independence Rules and GIMs Delays
• Conducting quarterly webcasts and Training sessions for the selectees on the complete Independence testing process
• Assisting in the automation of processes to ensure improvements in carrying out day-to-day functions, such as Auto Import of financial information (FIDIP), Global Independence Monitoring system (GIMs), Independence Testing tool (ITS tool for submission of Limited Review and lateral hire details), RRO consultation tool (to address queries of selectees)

Officer– Secretarial & Compliance - IIFL Finance Limited, Mumbai - Mumbai

(2021-01 - 2023-05)

• Statutory Audit & ICFR
• Quarterly and Annual Compliances for equity listed company w.r.t SEBI(LODR) Regulations, SEBI (Depositories and Participants) Regulations, 2018, Updating Website, ROC filings
• Allotment of ESOPS, Generating Exercise Reports, Co-ordination with RTA, Depositories and Stock Exchanges for Corporate Action and Listing of ESOPs, verification of employee profiles on portal, handling queries
• Implementation of Insider Trading Software, its development at regular Intervals, Monitoring daily trades and reporting violation as per Insider Trading Code, SEBI (PIT)Regulations and Circular
• Pre and Post Meeting intimations to Stock Exchanges, drafting of Notice, Newspaper Advertisement, preparing transcript of the meeting, handling shareholder enquiries for speaker
• Preparation of Corporate Governance Report, Director's Report, Co-ordination with departments, printers
• Declaration and payment of Dividend
• Website Development as per SEBI Circular requirements
• Preparation of Business Responsibility and sustainability reporting (BRSR) as under SEBI
• Assisted in preparation of IM, Filing of Prospectus, Co-ordination with Lead Managers

Management Trainee (Company Secretary) - Catalyst Trusteeship Limited, Mumbai - Mumbai

(2020-08 - 2021-12)

• Daily Credit Rating Agency reporting on NCD payments; Drafting Periodical compliance letters for listed as well as unlisted entities, preparing of Press Releases and updating the same on company website
• Tracking and monitoring Periodical compliances as received from Issuer Companies and periodical/event-bases disclosures to SEBI, Stock exchanges and credit rating agencies; Handling Doubts and queries on periodical compliances as received from issuer companies that involve SEBI LODR regulations, Companies Act, DT Regulations and SEBI Circulars
• Assisted in an IBC matter- filing claims to the administrator, exchanging information with Regulator and the administrator on a regular basis, assisting in tasks related to the Committee of Creditors meeting

Company Secretary - Institute of Company Secretaries of India (2020)

Bachelor of Law - Law - University of Mumbai (2023)

Bachelor of Management Studies - Finance - University of Mumbai (2017)