Summary
Overview
Work History
Education
Skills
Certification
Websites
Timeline
Generic

Dhanish Shah

Mumbai

Summary

As a Company Secretarial professional with a law degree and a Compliance Officer, I have handled compliance, legal and secretarial requirements of a listed company and a SEBI registered intermediary. I have extensively worked on Companies Act 2013, SEBI regulations, FEMA laws and other international laws such as the GDPR. I always try to keep myself abreast with the latest developments in the legal and regulatory domains and apply them at work.

Overview

4
4
years of professional experience
1
1
Certification

Work History

Compliance Officer

CRISIL ESG Ratings and Analytics Limited
Mumbai
04.2024 - Current
  • Implementation of compliance framework in line with the SEBI CRA (ERP) Regulations.
  • Compliance Policy drafting, implementation and advocacy.
  • Maintains adherence to regulatory deadlines for SEBI and other regulatory compliance reporting.
  • Managed compliance agenda before the Company's Board.
  • Consistently adhered to AML guidelines as the Principal Officer at CRISIL ESG.
  • Ensured adherence to SEBI (PIT) Regulations 2015 through continuous monitoring and tracking of employee trading activities.
  • Played an active role in conducting reviews, inspections, and audits.

Assistant Manager

CRISIL Limited
Mumbai
10.2022 - Current
  • Supporting the Research business of CRISIL Limited with providing advisory on SEBI Research Analyst Regulations
  • Ensuring appearance to compliance policies by qualitative and quantitative methods
  • Reviewing the MSAs, NDAs, engagement letter and code of conduct documents for clients across the business
  • Conducting Sanction screenings, third party payment checks on clients and vendors and assisting the Privacy Office in carrying out impact assessments and implementing various data protection measures
  • Conducting complete review of CRISIL's non- rating clients from Anti Money laundering compliance perspective
  • Providing advisory support for non-Rating businesses across CRISIL
  • Manage the Intermediary and fiduciary SDD for CRISIL
  • Continuing the KRA's stipulated under the previous job title as a company secretary intern

CS Management Trainee

CRISIL Limited
Mumbai
12.2020 - 09.2022
  • Management of regulatory compliance management tool (Legatrix)
  • Managing the companies breach framework under the SEBI (Prohibition of Insider trading) regulation 2015
  • Period reporting of PAD violations to stock exchanges
  • Managed the system driven disclosures on NSDL
  • Preparing of Compliance agenda items and status reports to be placed before various committees of the Board
  • Assist the compliance team in policy review
  • Drafting of various regulatory communications
  • Assist the Secretarial team in preparing the minutes, resolutions and notices of board meetings Managing of regulatory process such as bi weekly review of SEBI SCORES and SEBI Intermediary portals Managing go live and adherence of regulatory tasks of CRISIL International and domestic entities
  • Conducting Compliance Inductions for new joiners

Education

LL.B - Law

GJ Advani College of Law
Mumbai
04-2023

Company Secretary - Law

Institute of Company Secretaries of India
Mumbai
10-2022

B.Com - Commerce

KJ Somaiya College of Arts And Commerce
Mumbai
05.2019

HSC -

KJ Somaiya College of Arts and Commerce
06.2016

ICSE -

Hiranandani Foundation School
05.2014

Skills

  • Microsoft Word
  • Microsoft PowerPoint
  • Microsoft excel
  • Audit management
  • Anti-Money Laundering
  • Legal Research
  • Compliance Monitoring
  • Documentation Review
  • Regulatory knowledge
  • Policy analysis

Certification

  • NISM-Series-III-A: Securities Intermediary Compliance (Non Fund) certification
  • Certificate course on Financial Markets - University of Yale
  • Certificate course on Press Law - University of Mumbai

Timeline

Compliance Officer

CRISIL ESG Ratings and Analytics Limited
04.2024 - Current

Assistant Manager

CRISIL Limited
10.2022 - Current

CS Management Trainee

CRISIL Limited
12.2020 - 09.2022

LL.B - Law

GJ Advani College of Law

Company Secretary - Law

Institute of Company Secretaries of India

B.Com - Commerce

KJ Somaiya College of Arts And Commerce

HSC -

KJ Somaiya College of Arts and Commerce

ICSE -

Hiranandani Foundation School

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Dhanish Shah