Puja Jaiswal
Co-Sec, Legal and Compliance
Gurugram
Summary
Thorough Senior Analyst with over a 5 in counting -year background in Co-Sec, KYC/AML Compliance, Operations, etc. with exceptional teamwork, leadership, excellent planning, organizational and communication skills. In-depth knowledge of foreign law, OFAC, EMEA and proven ability to deliver work under pressure and achieve TAT with negligible error.
Overview
6
6
years of professional experience
Work History
Senior Analyst, Data Management, Legal & Compliance
Blackstone COE, Wipro
12.2022 - Current
- Formation of Legal Entities , Onboarding of Clients, Screening, World Check etc
- Due Diligence (CDD, EDD, Third Party, Senior Management),
- Preparation of Structure Chart for Private Equity Investments;
- Preparation of AML Letter, KYC Refresher, Periodic KYC and Sanctions as per OFAC regulation, Treasury KYC, FinCEN Forms, UBO KYC etc
- Allocation of work, Peer work review, Process training, Transition of process, Direct Client facing, Ability to manage large projects with minimum supervision,
- Mentored junior analysts, fostering professional development while enhancing overall team performance.
- Provided expert advice for senior management, contributing to informed decision-making and strategic planning.
Global Company Secretarial Officer, Co-Sec and Compliance, APAC Region
Intertrust Group
12.2019 - 12.2022
- Onboarding of Clients, CDD Status, PEP Compliances, World Checks and Adverse News Search
- Conduct background screening on the Client name and Client Entities using tool such as World Check and Risk Engine
- Review /Re-Acceptance of existing clients for data integrity and risk re-classification
- Understanding and Preparation of Complex Structure Chart of Trust/Entities
- Compliance and Preparation of Legal Documents for Private Wealth Clients based in Hong Kong and Singapore
- Handling Corporate Secretarial Activities for clients based in foreign jurisdictions like Hong Kong, Singapore
- Assisting in Pre and Post Incorporation of Hong Kong Entities
- File Review and Periodical Review for both Individuals and Corporate Clients along with Data Remediations
- Statutory Filings with CR Registry, Hong Kong
- Act as a SME for Knowledge Transfer, Streamlining the processes , coaching new employee,
- Updating SOP, Maintaining Dashboard, Management Reporting’s etc
- Automation of different processes for the team for better efficiency
Semi Qualified CS
VSD & Associates, CA Firm
06.2018 - 11.2019
- Pre and Post Incorporation of Private, Public and Section 8 Companies under Companies Act, 2013
- Assisted in Secretarial Audit of Private, Public and Listed Companies
- Handling of Event Based Compliances and Annual Compliances independently for more than 200 Companies
- Liasoning with various Government Departments
- Client facing and act as a bridge between the clients and other team member for smooth flow of work
- Managing of Team
Education
Company Secretary
The Institute of Company Secretaries of India
02.2020
B.com
University of Delhi
2015
Higher Secondary Education (SEBA) - undefined
Margherita College
Secondary Education (SEBA) - undefined
Hill View High School
Skills
Team Management and Team work
Languages
Hindi
Advanced (C1)
English
Advanced (C1)
Timeline
Senior Analyst, Data Management, Legal & Compliance
Blackstone COE, Wipro
12.2022 - Current
Global Company Secretarial Officer, Co-Sec and Compliance, APAC Region
Intertrust Group
12.2019 - 12.2022
Semi Qualified CS
VSD & Associates, CA Firm
06.2018 - 11.2019
Company Secretary
The Institute of Company Secretaries of India
B.com
University of Delhi
Higher Secondary Education (SEBA) - undefined
Margherita College
Secondary Education (SEBA) - undefined
Hill View High School
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