RICHA YADAV
Mumbai
Summary
Legal and Compliance professional with 10+ years of experience specializing in APAC Control Group compliance and securities law. Proven expertise in managing information barriers, conflicts of interest, insider trading prevention, and regulatory advisory across capital markets. Skilled securities lawyer with extensive experience in IPOs, QIPs, Rights Issues, NCDs, and corporate governance. Recognized for leading compliance frameworks, stakeholder engagement, and risk mitigation strategies within global financial institutions.
Overview
10
10
years of professional experience
1
1
Certification
Work History
Vice President, Compliance Control Group
Citigroup Inc
10.2019 - Current
- Currently serving as India lead for Control Room wherein the role involves analyzing, managing and avoiding conflict of interest within the institutional clients group, managing the information barrier (chinese walls) within the firm and designing and implementing the process to prevent misuse of inside information, and evaluating the deals for legal, regulatory or franchise concerns.
- The role also involves overseeing BAU and training and mentoring junior analysts in control room.
- My role includes reviewing Citi research product prior to publication, including public appearance requests for Citi research analysts, Gatekeeping/Chaperoning the IPO deals and providing advisory services for Citi research.
- Responsible for providing conflict clearance of the investment banking transaction submitted for approval which included advising on conflict of interest, inside information and franchise concern for the Bank. As the part of the role, handled many complex deals which required liaising with legal, business selection, reviewing engagement letter, imposing exclusivity and ring fencing to manage the firm conflict.
- Advised businesses (Investment Banking, Research, Markets Sales & Trading) on securities law and compliance requirements across APAC jurisdictions.
- Was responsible for creating and overseeing firm's watchlist and restricted lists to ensure compliance with global market conduct standards and local regulations. As a part of this handled many complex cases where in the impact of application of regulations by market regulators of the relevant jurisdiction (for instance SEBI regulations, PRC regulations, Taiwan Regulations,SEC etc)
- Designed and implemented compliance frameworks, lead regulatory inquiries responses, and conduct product compliance reviews.
- Was responsible for updating the AP Control group which serves as the repository for all major control group processes to make sure the procedures are in compliance with the changing laws as well as control group practices
- Delivered compliance training and awareness programs for employees across Asia-Pacific across business including investment banking, markets and services.
- Lead the global project and collaborated with NAM, EMEA and JAPAN Control group teams and the trade surveillance team and tech teams for enhancing PTOA trade breaches process to develop a more robust insider trading prevention framework.
Associate, Capital Markets (Securities Counsel)
Khaitan & Co
10.2016 - 09.2019
- Acted as securities counsel for IPOs, QIPs, and Rights Issues, advising issuers and underwriters on SEBI and Companies Act compliance.
- Led drafting and negotiation of offer documents, transactional agreements, and regulatory certificates for equity and debt offerings.
- Conducted due diligence, regulatory analysis, and risk assessment for large M&A and capital markets transactions.
- Key IPO mandates: Penna Cement, Bandhan Bank, Varroc Engineering, Reliance General Insurance, Amber Enterprises.
- Sole legal counsel on Rights Issues and QIPs including Texmaco Rail and Engineering Limited and Sunteck Realty Limited.
Associate, Capital Markets (Securities Law)
Cyril Amarchand Mangaldas
08.2015 - 09.2016
- Worked on IPOs, QIPs, and Rights Issues for reputed corporates, ensuring compliance with SEBI regulations and securities laws.
- Part of teams advising on IPOs of Thyrocare Technologies and GNA Axles Limited.
- Advised on establishment of Infrastructure Investment Trusts (InvITs) and subsequent equity raising.
- Drafted legal opinions on securities law and corporate governance for leading corporates and financial institutions.
Education
B.A., LL.B. (Hons.) -
Dr Ram Manohar Lohiya National Law University
04-2015
Skills
- Control Group & Compliance Skills:
- Information Barrier (Chinese Walls) Management
- Conflicts of Interest Identification & Mitigation
- Insider Trading Prevention & Surveillance
- Regulatory Advisory (SEBI, RBI, SEC, MAS, HKMA, APAC regulators)
- Watchlist & Restricted List Management
- Compliance Program Development & Policy Design
- Compliance Training & Awareness Programs
- Cross-Border Compliance & Policy Harmonization
- Securities Law & Capital Markets Skills:
- Securities Law & Corporate Governance
- Capital Markets Transactions (IPOs, Rights Issues, QIPs, NCDs)
- Offer Document Drafting & Regulatory Filings
- Due Diligence & Risk Assessment
- Regulatory Inquiry & Audit Support
- Advisory to Issuers, Underwriters, and Investors
Certification
Enrolled with the Bar Council of Maharashtra and Goa
ADDITIONAL QUALIFICATIONS
- Foundation level French language course (Grade A).
- Certificate course in International and Comparative Trademark Law under Prof. Christine Haight Farley, Washington University.
- Winner of University essay competition on Higher Education Reforms in India.
- Ranked among top 5 in college and top 8 throughout schooling.
Reading literature
Reading classical and modern literature
Swimming
Watching movies regional cinema, hollywood, Bollywood
Languages
Hindi
Bilingual or Proficient (C2)
English
Bilingual or Proficient (C2)
French
Elementary (A2)
Timeline
Vice President, Compliance Control Group
Citigroup Inc
10.2019 - Current
Associate, Capital Markets (Securities Counsel)
Khaitan & Co
10.2016 - 09.2019
Associate, Capital Markets (Securities Law)
Cyril Amarchand Mangaldas
08.2015 - 09.2016
B.A., LL.B. (Hons.) -
Dr Ram Manohar Lohiya National Law University
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