Hi, I’m
Revathy R Nair
Thiruvananthapuram
Summary
Dynamic Legal and Compliance Manager at Capstocks and Securities (India) Private Limited, adept at regulatory compliance and legal analysis. Successfully managed recovery suits and liaised with legal agencies, ensuring adherence to SEBI regulations. Proven organizational skills and proficiency in accounts software enhance operational efficiency and compliance oversight.
Overview
10
years of professional experience
1
Certification
Work History
Capstocks and Securities (India) Private Limited
Legal and Compliance Manager
02.2025 - Current
Job overview
- Taking membership with various Exchanges
- The registration of Sub Broker/Authorized Person Registrations.
- Filing of ACR / Annual Return, to various Stock / Commodity Exchange(s) & SEBI, within the time period.
- Preparation of PMLA Policy in line with the Prevention of Money Laundering Act (PMLA) and SEBI regulations, ensuring compliance with all relevant laws.
- Draft various Agreements, which shall include Franchisee Agreement/ Lease Agreement/Settlement Agreement
- Redress Investor Grievances
- Filing of Resolutions / Returns and other Statutory Compliances, as contemplated under the Companies Act of 1956.
- Convene regular meetings and prepare minutes of the PMLA Committee
- Coordinate with various departments and to collate requisite details, for the conduct of inspection by various Exchanges / SEBI / CDSL and also to assist the Internal Auditor / Inspection team.
- Ensure prompt issuance of Contract Notes / margin Statements / holding statements etc to the Clients and such other documents, as may be required by the Exchange(s) / SEBI / CDSL, from time to time.
- Carry out training sessions for the Staff / Investors, about Money laundering and their obligation related to Anti money laundering.
- Provide various reports in connection with the PML Act, including reporting of suspicious transactions to the top management, as per Regulatory requirements.
- Overall responsibility of managing TSS software, including updation and also liaison with the solution providers, of PMLA software.
- Continuously monitor the transactions of Clients and to take appropriate action based on the alerts generated through TSS software or other risk management system, in consultation with the Compliance officer.
- Assist the Compliance Officer/Alternative Compliance Officer, in carrying out various regulatory requirements, as contemplated under SEBI / Exchange(s) Rules & Regulations.
- Independently handling recovery suits filed before civil courts/NCLT, including court appearances.
- Responding to letters/notices received from authorities such as EOW, CBI, under sections 91 and 102 of CrPC.
- Liaising with advocates, law enforcement agencies, and internal stakeholders on legal matters.
- Maintaining MIS (Management Information System) to track legal cases and process advocate invoices.
- Monitoring and circulating the latest SEBI circulars and orders; providing legal synopses when required.
- Providing legal opinions on various issues raised by internal teams.
- Performing additional legal tasks and duties as assigned, including compliance-related activities.
District Court, VanchiyoorThiruvananthapuram
Advocate
08.2022 - Current
Job overview
- Confer with colleagues specializing in different areas of legal issues to establish and verify the basis for legal proceedings.
- Represent clients in court and government agencies.
- Search for and examine public and other legal records to write opinions or establish ownership.
- Evaluate information related to legal matters in public or personal records.
Tokyo Freight Services WLL - Sky Express International WLL
Accounts Manager
02.2017 - 08.2018
Job overview
- Managed cash and bank operations and planned cash flow.
- Supervised accounts and operations teams, ensuring compliance with financial regulations.
- Prepared financial statements and management reports, finalized accounts, and reconciled discrepancies.
- Managed payroll, salary transfers, and employee files.
AL ABBAS TRADING CO LLCDoha
Accountant
01.2012 - 02.2017
Job overview
- Company Overview: Doha
- Prepared financial statements and confidential management reports.
- Conducted bank reconciliations and verified cash payment vouchers.
- Managed set-off entries for debtors and creditors.
- Doha
Varma and Varma Chartered Accountants
Accounts Executive and Audit Trainee
07.2009 - 04.2011
Job overview
- Reviewed and verified financial records, ensuring compliance with policies and procedures.
- Developed audit procedures, recommended modifications, and improved internal systems.
Education
Manasarovar Global University
LLM
01.2024
University of Kerala
3 Year Unitary LLB
04.2022
QUEEN MARGARET UNIVERSITY ,UKExams Ongoing
MBA from International Finance
Master of Business Administration (MBA) from Finance
Master of Commerce (M.Com) from Finance
Bachelor of Commerce from Computer Application
Skills
- Regulatory compliance
- Administrative planning
- Organizational skills
- Controlling compliance activities
- Recovery Suits handling
- Liaising with Legal Agencies
- Legal Opinions
- Regulatory monitoring
- Legal analysis
- Accounts Software (Zoho, Peach Tree, Tally, Oracle)
- MS Office proficiency
- Problem-solving skills
- Communication skills
- Legal documentation management
- Financial documentation management
Disclaimer
I hereby declare that the above-furnished details are true and correct to the best of my knowledge and belief.
Languages
- English
- Hindi
- Malayalam
- Tamil
Personal Information
- Date of Birth: 09/27/88
- Nationality: Indian
Certification
- NISM Series VII: Securities Operations and Risk Management Certification
Languages
Malayalam
First Language
English
Proficient (C2)
C2
Tamil
Advanced (C1)
C1
Hindi
Elementary (A2)
A2
Timeline
Legal and Compliance Manager
Capstocks and Securities (India) Private Limited
02.2025 - Current
Advocate
District Court, Vanchiyoor
08.2022 - Current
Accounts Manager
Tokyo Freight Services WLL - Sky Express International WLL
02.2017 - 08.2018
Accountant
AL ABBAS TRADING CO LLC
01.2012 - 02.2017
Accounts Executive and Audit Trainee
Varma and Varma Chartered Accountants
07.2009 - 04.2011
Manasarovar Global University
LLM
University of Kerala
3 Year Unitary LLB
QUEEN MARGARET UNIVERSITY ,UK
MBA from International Finance
Master of Business Administration (MBA) from Finance
Master of Commerce (M.Com) from Finance
Bachelor of Commerce from Computer Application
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