Recent law graduate with a B.Com degree and specialized certifications in Mergers & Acquisitions, Fintech & Banking Law, and Technology Law. Combines legal and financial expertise gained through hands-on experience in top law firms. Dual certification in Investment Banking and Financial Analytics equips me to support legal teams in navigating complex financial regulations and compliance at leading institutions.
At ARK Enterprises, a dynamic financial firm specializing in small and medium loans, as well as chit fund operations, I have been integral to the legal team, focusing on securities regulations and compliance. My responsibilities include:
- Researched SEBI regulations, including SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, focusing on disclosure requirements and governance standards for the firm's financial operations.
- Developed compliance checklists for SEBI's corporate governance requirements, including board composition and audit committee regulations.
- Created risk assessment frameworks to identify legal risks associated with loan issuance and chit-fund operations, including risk matrices and regulatory compliance checklists.
- Conducted internal audits of loan disbursement procedures, ensuring adherence to RBI regulations and verifying documentation accuracy.
- Prepared and reviewed regulatory compliance reports, including quarterly financial disclosures and annual reports, ensuring alignment with statutory requirements.
- Drafted and reviewed corporate filings such as Form MGT-7 (Annual Return) and Form AOC-4 (Financial Statements), ensuring accuracy and compliance with the Companies Act, 2013.
- Drafted loan agreements, chit-fund contracts, and service agreements, including terms on repayment schedules, interest rates, and default clauses, in compliance with the Indian Contract Act of 1872.
- Provided legal advice on compliance matters related to securities and financial reporting, interpreting regulations, and advising on necessary adjustments.