Ashish Kumar Shrivastava
Company Secretary and Chief Compliance Officer
KharGhar,MH
Summary
- With over 13 years of overall experience in the finance banking and power industry, I have worked with diverse companies including non-banking finance, housing finance, government companies, listed public group.
- Currently employed at Motilal Oswal Finvest Limited, a high value debt-listed NBFC with an asset size exceeding 3500 Crores and a client base of 6000. Responsible for compliance for handling multiple products such as Loan against Securities (LAS), Loan against AIF units, Loan against properties, IPO funding and unsecured loans. Also supervise and monitor necessary RBI and LODR compliances, coordinate policy matters and RBI data and inspection-related tasks.
- Additionally, prepare and submit quarterly compliance certificates to the Board, ensuring compliance with the Companies Act of 2013, maintaining statutory registers, and handling various other responsibilities related to company secretarial work. Oversee statutory compliances with RBI, coordinate drafting and amendments of policies, manage board meetings and other committee meetings, and collaborate with auditors.
- Expertise in conducting meetings, preparing of Board Resolutions, Board Report, Annual Report, CSR activities reports, maintaining statutory registers, secretarial records, agenda books, minutes of meetings, ROC filings, statutory records, and other documents in accordance with the Companies Act of 2013 and mandatory Secretarial Standards of ICSI.
Innovative technology professional with several years of diverse experience. Skilled in enhancing systems and aligning technical solutions with business objectives. Proven success in leading projects from start to finish and contributing to organizational growth and success.
Overview
15
15
years of professional experience
1
1
Certification
Work History
Company Secretary and Chief Compliance Officer
Motilal Oswal Finvest Limited
Mumbai, Maharashtra
3 2024 - Current
- Supervision and monitoring of RBI and LODR Compliances
- Drafting and finalizing of various policies.
- RBI Inspection and RBI data related co-ordination with operations team
- Compliance testing of back office /business operations
- Board Meetings, Committee Meetings, General Meetings
- Agenda and Minutes of Board and Committee Meetings
- Preparation and Submission of Quarterly Compliance Certificate before the Board
- Board's Report, Annual Report, CSR activities as per Companies Act, 2013
- Supervision of RoC filing, RBI returns, stock exchange returns
- Co-ordination for Secretarial Audit and Statutory Audit.
- Maintenance of Statutory Registers containing records of shareholders, directors, KMPs.
- Successfully maintained a positive relationship between the Board of Directors and Shareholders through transparent communication efforts.
- Supported management decision-making processes with thorough research and analysis of relevant industry trends and regulations.
- Strengthened the organizational structure by guiding management on optimal board composition, director succession planning, and committee assignments.
- Responded to inquiries from callers seeking information.
- Managed phone and email correspondence and handled incoming and outgoing mails.
Company Secretary and Compliance Officer
Cent Bank Home Finance Limited
10.2021 - 03.2024
- Supervision and monitoring of necessary Statutory Compliances with NHB, RBI and Annual Filing with MCA-RoC
- Co-ordination for drafting and amendments in various Policies
- Board Meetings, Audit Committee Meetings, General Meetings, other Committee Meetings
- Notice of Meetings, Agenda Notes and Minutes of Meetings, Board Resolutions
- Collection of Action Taken Reports of previous Board Meetings
- Monitoring of submission of various data with regulator
- Preparation and Submission of Quarterly Compliance Certificate before the Board
- Co-ordination with Secretarial Auditor, Statutory Auditors, NHB & CAG Auditors
- Board's Report, Annual Report, CSR activities as per Companies Act, 2013
- Maintenance of Statutory Registers containing records of shareholders, directors, KMPs and charges of the Company
- Maintaining of secretarial records, agenda book, minutes, RoC records and other documents in accordance to Companies Act, 2013 as well as mandatory Secretarial Standards of ICSI.
Practicing Company Secretary
Ashish Shrivastava & Associates
04.2021 - 10.2021
- Legal, Secretarial, Incorporation, RoC filing, assignment work of companies.
Company Secretary
M.P. POWER MANAGEMENT COMPANY LIMITED
07.2015 - 03.2021
- Legal, Statutory Compliances, Board Meetings, Audit Committee Meetings, General Meetings, other Committee Meetings
- Notice of Meetings, Agenda Notes and Minutes of Meetings,
- Board Resolutions, Action Taken Reports, Quarterly Compliance Certificate,
- Secretarial Audit, Statutory Audit, CAG Audit,
- Board's Report, Annual Report as per Companies Act, 2013,
- Maintenance of Statutory Registers, secretarial records,
- RoC filing
- agenda book, minutes, RoC records and other documents.
Company Secretary
C. MAHENDRA EXPORTS LIMITED
03.2011 - 03.2014
- Listing Compliance of stock exchanges, Legal, statutory compliances, Board Meetings, Audit Committee Meetings, General Meetings, other Committee Meetings
- Notice of Meetings, Agenda Notes and Minutes of Meetings, Board Resolutions, Action Taken Reports, Quarterly Compliance Certificate, Secretarial Audit, Statutory Audit, CAG Audit, Board's Report, Annual Report as per Companies Act, 2013, Maintenance of Statutory Registers, secretarial records, agenda book, minutes, RoC records and other documents.
Company Secretary
NEPA Limited
04.2010 - 01.2011
- Legal vetting, Statutory Compliances, Board Meetings, Audit Committee Meetings, General Meetings, other Committee Meetings
- Notice of Meetings, Agenda Notes and Minutes of Meetings, Board Resolutions, Action Taken Reports, Quarterly Compliance Certificate, Secretarial Audit, Statutory Audit, CAG Audit, Board's Report, Annual Report as per Companies Act, 2013, Maintenance of Statutory Registers, secretarial records, agenda book, minutes, RoC records and other documents.
Education
Company Secretary -
The Institute of Company Secretaries of India
LLB - undefined
Rani Durgavati Vishwavidyalaya, Jabalpur
M. Com - undefined
Dr. Hari Singh Gaur Vishwavidyalaya, Sagar
BCom -
Dr. Hari Singh Gaur Vishwavidyalaya, Sagar
Skills
Company Law
Corporate Finance
Company Secretarial Work
Commercial Litigation
Mergers & Acquisitions (M&A)
Company Operations
Advertising
Banking
Recruiting
JAIIB
Legal Compliance
Corporate Governance
Company Law Expertise
Due diligence
Document Management
Regulatory filings
Contract Review
Certification
JAIIB - INDIAN INSTITUTE OF BANKING AND FINANCE
Awards
Appreciation Award - M.P. POWER MANAGEMENT COMPANY LIMITED (Mar 2021)
Languages
English
Bilingual or Proficient (C2)
Hindi
Bilingual or Proficient (C2)
watching movies, listening to music etc
I prefer to watch movies from which I can learn new concepts, ideas.
Timeline
Company Secretary and Compliance Officer
Cent Bank Home Finance Limited
10.2021 - 03.2024
Practicing Company Secretary
Ashish Shrivastava & Associates
04.2021 - 10.2021
Company Secretary
M.P. POWER MANAGEMENT COMPANY LIMITED
07.2015 - 03.2021
Company Secretary
C. MAHENDRA EXPORTS LIMITED
03.2011 - 03.2014
Company Secretary
NEPA Limited
04.2010 - 01.2011
Company Secretary -
The Institute of Company Secretaries of India
LLB - undefined
Rani Durgavati Vishwavidyalaya, Jabalpur
M. Com - undefined
Dr. Hari Singh Gaur Vishwavidyalaya, Sagar
BCom -
Dr. Hari Singh Gaur Vishwavidyalaya, Sagar
Company Secretary and Chief Compliance Officer
Motilal Oswal Finvest Limited
3 2024 - Current