Hi, I’m
Akshay Bokadia
Bengaluru,India (+91)
Summary
Proven leader in AML compliance and corporate governance, adept at enhancing due diligence processes and interdepartmental communication at IntertrustViteos, a CSC Company. Skilled in regulatory knowledge and excellent communication, have significantly contributed to maintaining high compliance standards and mentoring teams for optimal performance. Achievements include streamlining KYC practices and leading successful process improvement initiatives.
Overview
11
years of professional experience
Work History
IntertrustViteos Corporate and Funds Services
Team Leader - KYC Services
02.2020 - Current
Job overview
- Set performance expectations for the team, monitoring progress towards goals and providing constructive feedback as needed.
- Worked closely with IT teams to develop and maintain AML/KYC systems and tools, ensuring optimal functionality and user experience.
- Collaborated with legal teams to determine appropriate actions for complex cases involving potential money laundering or terrorist financing activities.
- Kept abreast of changing regulatory landscapes, ensuring that company policies remained compliant with current laws and industry best practices.
- Conducted thorough due diligence on high-risk customers by analyzing financial statements, public records, and negative news coverage.
- Reviewed internal policies regularly to ensure alignment with evolving AML/KYC regulations and industry standards.
- Established open and professional relationships with team members to achieve quick resolutions for various issues.
- Collaborated with other department leaders to establish shared goals and ensure alignment across teams.
- Mentored junior staff members, helping them develop their leadership potential and advance in their careers.
- Served as a subject matter expert on KYC matters, providing advice and support during internal audits or regulatory examinations.
- Performed quality assurance checks on completed KYC files, ensuring accuracy and completeness while adhering to internal policies and regulatory standards.
- Promoted a strong compliance culture throughout the organization by raising awareness about the importance of KYC and AML in preventing financial crime.
- Participated actively in process improvement initiatives, identifying areas for optimization within the KYC function.
- Performed ongoing monitoring of existing clients for changes in risk profile, enabling timely intervention where necessary.
- Conducted risk assessments of new products and services to identify potential AML/KYC vulnerabilities.
- Enhanced interdepartmental communication to ensure consistent AML/KYC practices across the organization.
- Facilitated communication with onboarding team to gather information and onboarding documentation.
KSM Associates
Practicing Company Secretary
08.2017 - 02.2020
Job overview
- Liaise with other departments and external parties
- Provide advice and guidance on corporate governance matters
- Manage and coordinate the annual general meeting
- Monitor corporate compliance with relevant laws and regulations
- Prepare and maintain statutory registers
- Liaison with officials of RTA, BSE, SEBI, CDSL, NSDL and other regulatory authorities for obtaining necessary sanctions and ensuring compliance with various statutory obligations.
- Preparing of Annual Report and Annual Filling of various listed & unlisted companies.
- Drafted and filed application for shifting of Registered Office of the company within State.
- Preparing and Filing of various E-forms for various purposes as required under the Companies Act, 2013.
- Preferential Allotment, Private placement, Conversion of un-secured loan into equity share capital as per the provisions of Companies Act, 2013.
- Appointment & Resignation of Statutory Auditor, Company Secretary, Managing Director, Independent Director. Nominee Director etc and multiple changes therein.
- Answered multi-line phone system and enthusiastically greeted callers.
KSM Associates
Assistant Manager - Corporate Secretarial
08.2015 - 08.2017
Job overview
- Drafting of Detailed Agenda, Notices, attendance sheets, and Resolutions of Board Meetings, Committee Meetings and General Meetings and maintaining Statutory Registers specified under Companies Act, 2013.
- Drafting of Minutes of Board Meetings, Committee Meetings and General Meetings as required under Secretarial Standards and Companies Act, 2013.
- Filing of various Returns, Disclosures under the Companies Act, 2013, SEBI (LODR) Regulations, 2015 & SEBI (Prohibition of Insider Trading Regulations), 2015 including Half Yearly & Quarterly Compliances.
- Redress Investor Grievances on SCORES Platform.
- Regular maintenance and updating of Company's Website pursuance to the provisions of Companies Act, 2013 and SEBI (LODR) Regulations, 2015.
- Convening Board Meetings, Committee Meetings & General Meetings (all pre and post compliances including e-voting, etc).
- Assisting in work related to transfer/transmission of shares, issue of duplicate share certificate, splitting up of shares certificate.
KSM Associates
Trainee - Corporate Secretarial
02.2014 - 08.2015
Job overview
- Learned new materials, processes, and programs quickly.
- Attended training courses to build understanding of processes, techniques, and industry.
- Filled out timesheets and paperwork according to identified requirements.
- Participated in on-the-job training, working closely with supervisors and coworkers and asking appropriate questions.
- Drafting of Detailed Agenda, Notices, attendance sheets, and Resolutions of Board Meetings, Committee Meetings and General Meetings and maintaining Statutory Registers specified under Companies Act, 2013.
- Drafting of Minutes of Board Meetings, Committee Meetings and General Meetings as required under Secretarial Standards and Companies Act, 2013.
- Filing of various Returns, Disclosures under the Companies Act, 2013,
Education
University of MadrasChennai, India
Masters of Commerce from Commerce
06.2014
Institute of Company Secretaries of IndiaIndia
Associate Company Secretary from Corporate Secretarial
08-2017
Skills
- Customer/Enhanced Due Diligence
- Suspicious Activity Reporting
- Regulatory knowledge
- PEP Identification and risk
- Risk Assessments
- Sanctions Screening
- AML Compliance
- Client onboarding
- Attention to Detail
- Excellent Communication
- Organizational Skills
Timeline
Team Leader - KYC Services
IntertrustViteos Corporate and Funds Services
02.2020 - Current
Practicing Company Secretary
KSM Associates
08.2017 - 02.2020
Assistant Manager - Corporate Secretarial
KSM Associates
08.2015 - 08.2017
Trainee - Corporate Secretarial
KSM Associates
02.2014 - 08.2015
University of Madras
Masters of Commerce from Commerce
Institute of Company Secretaries of India
Associate Company Secretary from Corporate Secretarial
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