Saloni Jaiswal
Bengaluru
Summary
A Company Secretary with over 10 years of experience in corporate governance, legal, regulatory secretarial experience compliance, managerial and functions. Having extensive experience in Netherlands and UK jurisdictions laws, specializing in AML and KYC policies, procedures, and controls. Proven expertise in legal compliance, transaction monitoring, and risk assessment. Skilled in handling complex financial transactions, identifying red flags, and mitigating risks. Recognized for attention to detail, excellent communication skills, and the ability to navigate intricate legal and compliance frameworks to safeguard organizational integrity.
Overview
14
14
years of professional experience
Work History
Senior Compliance & Legal Officer
Amicorp Group
Bengaluru
07.2022 - Current
- Operated within Netherlands and UK's regulatory frameworks
- Preparation of legal documents i.e. from incorporation of companies to liquidation of companies.
- Preparation and updating of structure charts for the clients.
- Preparation of resolutions, minutes, and board packs for board meetings, AGMs, and EGMs.
- Reviewed client documents, conducted background checks, built comprehensive KYC reports, and compiled them on a system platform
- Reviewed UBOs, IBOs, authorized signatories and Directors according to local due diligence regulations
- Substantiated percentage holdings of relevant parties to assess sanction and financial transaction risks
- Assessed suspicious activities and consulted with local compliance officers to establish required due diligence levels
- Ensured KYC records met quality pass rates consistently
- Responsible for end-to-end transaction monitoring reviews, alerts, and case investigations. Reviewed and investigated high-risk transactions, escalating cases for further review when warranted.
- Detailed politically exposed person (PEP), Anti-Money Laundering (AML), Terrorist financing (CTF) & Sanctions status for comprehensive documentation
- Monitored legal, inward, and outward transactions to identify and assess potential risks
- Ability to analyze complex financial transactions, and identify patterns and red flags.
- Exceptional attention to detail and ability to maintain the preparation of internal audit reports and documentation for regulatory audits.
- Trained new joiners and acted as a point of contact for queries regarding process and assist in complex cases
- Legal CoSec work in terms of Netherlands & UK Jurisdiction
- Preparation of shareholders' and board meeting documents.
- UBO registrations/ de-registrations/ amendments
- Liquidation related forms & resolutions, Change of Directorship, address
- Maintenance of various corporate information/ documents as per good legal standing
Senior Compliance Officer
Intertrust Group
Bengaluru
02.2020 - 07.2022
- Coordinated with Company lawyers in Amsterdam to ensure compliance with Dutch law
- Acted as a SME for the NA3 (North America) business unit, overseeing daily operations for onshore Cosec & compliance team
- Part of migration team who went to Amsterdam, the Netherlands for training purpose w.r.t understanding Dutch law
- Trained a group of 48 individuals on Dutch law
- Assisted in incorporation and liquidation of various Dutch Companies
- Updating statutory registers as per Dutch law
- Handling client portfolio including compliance, KYC and AML aspects
- Transaction Monitoring Specialist and lead the team of 9 people involved in the transaction monitoring project.
- Preparation of minutes and various resolutions pertaining to Board and Shareholder meetings
- Prepared various service level agreements
- Handling day-to-day legal and administration tasks for funds related clients of the company
- Preparation of GAP sheet to determine the status of availability of valid KYC documents of client entity and its associated parties
- Preparation of KYC checklist based on findings on client files to request client for missing or updated information/ documents
- Performed thorough analysis of customer profiles, transactions, and documentation to identify and investigate potential money laundering and terrorist financing activities (Integrity, Reputational, Anti-Bribery and Corruption), Embargos & Sanctions (FATF, OFAC), tax evasion and related laws and regulations E.g FATCA, CRS, etc
- Variation in risk rating, drafting of internal forms for re-validation of risk category by quality check team and determining the risk rating i.e High, medium, Low, no-go
Legal head
U n I Comply Pvt Ltd.
Bengaluru
02.2016 - 01.2020
- Handled the compliances of various Start-ups companies (Registered as Start up by DIPP) and helped them to raise funds upto Series B level
- Incorporation of the Company-Public &Private Limited Company, Limited Liability Partnership, Partnership firm, OPC
- Managed compliance requirements for Broking Industry independently.
- Drafted and reviewed a variety of agreements including Shareholders Agreement, Loan Agreements, and Lease Agreements
- Preparations of documents w.r.t Private placement and right issue for issue of Debentures and Equity shares and filing of PAS- 4, PAS5, GNL-1& PAS-3 respectively
- Conducted various Board meetings, EGM and AGM for different kind of Industries;
- Preparation of ESOP documents for various companies and filing of MGT-14 for the same
- Filing of Documents with regards to Charge creation, Modification &Satisfaction;
- Filing of FC-GPR, ARF, FLA, SMF and various other forms w.r.t. FEMA regulations
- Drafted and filed application for changing the Name, Object Clause & Authorized capital of the companies
- Annual Filing of Private & Public Company, LLP and OPC in XBRL and Non- XBRL mode
- Drafted and filed application for shifting the Registered Office within State and outside the state
- Removal of Directors' Disqualification
- Prepared a petition for NCLT for restoration of Company which is being Strike off
- Preparation of Boards Report, Minutes, Resolutions of various companies
- Drafted and filed application for multiple changes in Directorship
- Maintenance of Registers and other related documents as per Companies Act,2013
- Fast track closure of Companies as per old and new Companies Act,2013
- Conversion of Private Limited Company into Limited Liability Partnership
- Conversion of Public company into Private Company
- Prepared Due Diligence and Search reports for various companies
- Registered as Trademark Agent and have processed various trademark applications under different classes and reply towards the same
COMPLIANCE OFFICER
Anmol Share Broking Limited
Bengaluru
01.2015 - 02.2016
- Liasioning with stock exchanges like NSE, BSE, MCX and depository like CDSL for all compliances related work
- Independently handled Exchange (NSE & BSE) and Depository (CDSL)Inspections;
- Internal Audit as per exchange regulations viz. NSE, BSE, CDSL &MCX
- Annual Return submission as per Exchange & Depository guidelines
- Preparation of net worth Certificate as per LC Gupta method and exchange guidelines
- Applied for SEBI registration in Commodities Exchange i.e. MCX
- Submission w;r;t Enhanced Supervision guidelines (as directed by SEBI);
- Convening and conducting Board Meetings and Shareholder Meetings for all its group companies
- Well versed with the knowledge of compliances of Trading Member and Depository Participant.
Management Trainee
Sahara India Financial Corporation Limited
Lucknow
07.2012 - 08.2014
- Drafting of various Letter, Agreements, application and correspondence with the Government officials
- FEMA related compliances, reporting of Share Allotment to foreign Nationals as per FEMA Regulations; Annual Filing of return for Foreign Assets & Liability
- Preparation of Meeting documents like Notice, Agenda, Notes to Agenda, Attendance Sheet, Board Resolutions & Minutes
- Incorporation of various form of entities & obtaining various statutory approvals
- Performed due diligence and secretarial report
Education
L.L.B. - Legal
SARVODAYA LAW COLLEGE- KARNATAKA STATE LAW UNIVERSITY
Bangalore01.2024
Company Secretary - Legal and Tax
INSTITUTE OF COMPANY SECRETARIES OF INDIA
Lucknow01.2014
M.Com - Accounting, Tax, Law
Lucknow University
Lucknow, UP, IN01.2013
B.COM - Accounting, Tax, Law
National PG College, Lucknow University
Lucknow01.2011
Intermediate -
Holy Cross Convent School
Lucknow, UP01.2008
Matriculation -
Holy Cross Convent School
Ballia, UP01.2006
Skills
In foreign Laws (Worked for 2 jurisdictions- Netherlands and UK)
Legal Compliances - AML and KYC Policies, Procedures and Controls
Research And Due Diligence
Transaction Monitoring (Legal and Transactional, Risk and Mitigations)
Screenings (World Checks &
Google Checks)
Sanctions (OFAC, FATF)
Financial Crimes (FATCA/ CRS)
In Indian Laws ▪
▪ Strong command over CompaniesAct, 2013
▪ Expertise on FEMA Compliances
▪ Incorporations of companies such as Private limited, Public limited, OPC and LLP
▪ Worked closely with more than 50 startups, ranging from companies involved in the Edutech Sector, hospitality, Artificial Intelligence and Technologies etc
▪ Handled Compliances of multiple entities (including Private limited, Public limited, OPC and LLP)
▪ Worked as Trademark attorney and have handled more than 100 trademark applications
Accomplishments
- Awarded 'Best Employee' twice at Anmol Share Broking Private Limited.
- Was chosen by the current company to be part of migration team who went to Amsterdam, Netherlands for training purpose w.r.t understanding Dutch law.
- Awarded as winner of 'Can do approach' at Intertrust group Company.
- Team award for good quality work and time deliverable of request assigned, took initiative to support other team members.
Languages
- English
- Hindi
Timeline
Senior Compliance & Legal Officer
Amicorp Group
07.2022 - Current
Senior Compliance Officer
Intertrust Group
02.2020 - 07.2022
Legal head
U n I Comply Pvt Ltd.
02.2016 - 01.2020
COMPLIANCE OFFICER
Anmol Share Broking Limited
01.2015 - 02.2016
Management Trainee
Sahara India Financial Corporation Limited
07.2012 - 08.2014
L.L.B. - Legal
SARVODAYA LAW COLLEGE- KARNATAKA STATE LAW UNIVERSITY
Company Secretary - Legal and Tax
INSTITUTE OF COMPANY SECRETARIES OF INDIA
M.Com - Accounting, Tax, Law
Lucknow University
B.COM - Accounting, Tax, Law
National PG College, Lucknow University
Intermediate -
Holy Cross Convent School
Matriculation -
Holy Cross Convent School