KHYATI AGRAWAL
Gurugram
Summary
By virtue of knowledge of multiple disciplines of Law, Management, Finance, NHB and RBI Regulations and Corporate Governance and its Compliance, hereto will act as vital link between the Company, its Board of Directors, regulatory bodies and other agencies.
Qualified Company Secretary; Membership No.32508 (From May 2013).
Overview
11
11
years of professional experience
Work History
AVP-Regulatory Compliances and Audit Lead
SBI Cards
GURUGRAM
12.2023 - Current
- Compliance Risk Assesment
- Developed recommendations for improved operational efficiency based on audit findings.
- Drafted management responses to audit issues raised by auditors or regulators.
- Managed relationships with external auditors and regulatory agencies during audits.
- Identified weaknesses of existing control systems and made suggestions for remediation.
- Assessed compliance with applicable laws and regulations through review of documentation.
- Identified potential areas of risk and communicated findings to management in a timely manner.
- Wrote reports, authored papers and organized supporting documentation.
Senior Manager
Truebalance
11.2022 - 12.2023
- Implementation of RBI Digital Lending Guidelines within the organization
- Ensuring compliance and enhanced implementation of applicable regulatory guidelines and directions and gap assessment.
- To ensure placement of Internal Controls and testing effectiveness
- Ensure timely implementation of recommendations made by internal/external auditors and external regulators
- Ensuring product compliance and authentication
- Website and Application design
- Ensuring process controls withing the organization
- Regulatory interactions and correspondences.
- Drafted audit reports to display findings.
- Assessed potential risks, evaluated controls and conducted compliance testing.
- Maintained a database of all completed audits and their results.
- Assisted external auditors during annual audits by providing necessary information.
- Presented possible changes to current legislative, regulatory, or policy actions.
- Identified gaps between existing laws, regulations, policies and desired outcomes; suggested solutions for bridging those gaps.
- Drafted new policies, procedures and documents in accordance with organizational objectives.
- Participated in meetings with external organizations regarding policy matters.
- Prepared reports for senior management on the status of current policies and initiatives.
Manager-Compliance
DMI Group
12.2019 - 10.2022
- Ensuring the daily secretarial compliances like Preparation of Notice, Agenda and Minutes of meetings of Board Meeting, Committee Meetings, General Meetings for all the group companies, maintaining books, registers, records as required by law and ensuring compliance with the applicable secretarial standards
- All the documentation, execution and ROC form filing for registering of charge on MCA website and satisfaction of the same with NeSL registration and Authentication
- Compliance with Shareholders Agreement (SHA, SSA etc.)
- Issuance of warrants and Non-Convertible debentures and related compliance with the Regulators
- Handled FDI Transactions and secondary sale transactions and related FEMA compliance
- Convening and organizing Board, Committee and Shareholders meetings
- Handled the process of Legal Due Diligence and secretarial audit in the organization
- Actively engaged with senior management internally in terms of providing cross solutions to issues in corporate compliance
- Liaising with external regulators, solicitors and auditors
- Reporting in a timely & accurate manner on company procedures & developments
- Ensuring the company complies with standard legal practice and maintains standards of corporate governance
- Preparing legal opinions and letters on corporate laws and issues
- Drafting, vetting and negotiating of various agreements like Lease Agreements, Service Agreements, Leave and License Agreements, Non-disclosure Agreement, Manpower Contractor, Consultancy Agreements, Loan Agreement and Trade Facilitation Agreement
- Minimize cost escalations due to fines/penalties levied due to non-adherence to Governance norms
- Handling and assisting the process of Private Equity Funding
- Filing of returns and forms with ROC-MCA, Form FC-GPR, Form FC-TRS (E-biz portal), Annual Return of Foreign Assets and Liabilities and Annual Performance Report under RBI – FEMA
- Drafting of checklist, Standard Operating Procedures, MIS and ensuring adherence to the same
- Issuance and redemption of Commercial paper and Issuance and amendment in the terms of issuance of Non-Convertible Debentures.
- Day to day interactions and correspondences with Investors
- CSR compliance and XBRL Filings
- Updating Board and Management on latest law developments and market practices
- Conducting internal sessions on Compliance and regulatory subjects.
Company Secretary
Sohan Lal Commodity Management Pvt. Ltd. (SLCM)
10.2016 - 11.2019
Company Secretary
Panacea Biotec Limited (Listed on NSE and BSE)
07.2014 - 09.2016
Company Secretary and Manager-Legal
A2Z Maintenance and Engineering Services Limited (Listed on NSE and BSE)
07.2013 - 06.2014
Education
ICMAI-ASSOCHAM Certified AML Professional -
ASSOCHAM & ICMAI
DELHI08-2023
Bachelors of Law - Law
Chaudhary Charan Singh University-Meerut
Meerut06-2019
Master of Commerce - Business Policy And Corporate Governance
IGNOU
DELHI12-2015
CS -
ICSI
01.2013
BCA -
Barkutullah University
01.2010
Higher Secondary -
St. Joseph Convent Sr. Sec School
01.2007
PG -Diploma in Fintech -
IIM-Nagpur
Skills
- Internal Controls
- Ethical standards
- Audit Planning
- Process evaluations
- Risk assessment expertise
- Compliance Monitoring
- Process Mapping
Permanent Residence
B-Block, 316, Sagar Landmark, Ayodhya Bypass, Bhopal, Madhya Pradesh
Personal Interest
Dance, traveling, art and craft.
Personal Information
- Date of Birth: 02/06/1989
- Marital Status: Single
Languages
English, Hindi
Disclaimer
I hereby, declare that all the details furnished above are true to the best of my knowledge and I can produce the entire original document on demand of you or your organization.
Present Residence
G-405, Maple Heights, Sushant Lok Phase-I, Sector-43, Gurugram, Haryama-122002
Timeline
AVP-Regulatory Compliances and Audit Lead
SBI Cards
12.2023 - Current
Senior Manager
Truebalance
11.2022 - 12.2023
Manager-Compliance
DMI Group
12.2019 - 10.2022
Company Secretary
Sohan Lal Commodity Management Pvt. Ltd. (SLCM)
10.2016 - 11.2019
Company Secretary
Panacea Biotec Limited (Listed on NSE and BSE)
07.2014 - 09.2016
Company Secretary and Manager-Legal
A2Z Maintenance and Engineering Services Limited (Listed on NSE and BSE)
07.2013 - 06.2014
ICMAI-ASSOCHAM Certified AML Professional -
ASSOCHAM & ICMAI
Bachelors of Law - Law
Chaudhary Charan Singh University-Meerut
Master of Commerce - Business Policy And Corporate Governance
IGNOU
CS -
ICSI
BCA -
Barkutullah University
Higher Secondary -
St. Joseph Convent Sr. Sec School
PG -Diploma in Fintech -
IIM-Nagpur
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