Srinivas Raju
Legal, Transaction Management, Middle Office Functions
Mumbai
Summary
More than10 years of experience in aligning systems with business requirements, policies and regulatory requirements.
Passionate about applying excellent organization and communication skills to manage and lead teams.
Results-oriented individual well-verse in interacting and consulting on business processes to drive results.
Overview
12
12
years of professional experience
Work History
Associate
JP Morgan Chase
09.2023 - Current
- End to end support for Account opening, KYC completion and all account related activities for clients.
- Client Manager: Client interaction post deal is mandated and assist in explaining different regulatory requirements.
- Deal Negotiator: Negotiation of agreements and structuring deals with Clients, internal stakeholders and Legal Counsels to mitigate operational and Regulatory challenges.
- Administering Payments (inward, outward, domestic and crossborder payments).
- Adhere to performance parameters which include key process performance indicators (TAT, accuracy, regulatory related violations).
- Middle office supports by processing transactions, negotiating to ensure that transactions are booked and closed appropriately.
- Other functions include- risk management, information technology, accounting and legal support.
- Sales Associates: Day-to-day duties in engaging with clients and interaction with law firms for knowledge sessions.
Vice President
The Hongkong And Shanghai Banking Corporation Limited
7 2019 - 09.2023
- Handled complex financial structures with a wide knowledge of security creation and security perfection for Corporate Loans.
- Mitigation of operational and security risk.
- Managed compliances with Banking and Transactional aspects.
- Trust Retention Agent and Escrow Agent Transaction: Vetting, drafting and dealing with documentation of Transaction documents.
- Negotiated documents with the Clients/Companies/Transactional Counsels for transaction closure.
- Ensured that transactions are intact as per extant laws and regulations.
- Worked on Loan Repayment Escrow Account Transactions have detailed coordination with clients, Lenders and Counsels.
- Worked on Loan Repayment Escrow Account Transactions.
Assistant Manager
Vistra ITCL (India) Limited
12.2017 - 05.2019
- Coordinated with lenders, downsizing or divest of facility loan.
- Provided legal support for documentation and co-ordination with LLC and top legal firms.
- Supported execution of transaction documentation and security documents
Manager
IDBI Trusteeship Services Limited
01.2015 - 11.2017
- Security Trustee: Drafting and vetting of documents with respective trustee roles.
- Creation and holding of security in stipulated time.
- Vetting, drafting and execution of financing and security documents.
- Timely filing of security interest with CERSAI.
- Ensured timely payment of interest is done on time by borrowers to the lenders.
- Registrar of Companies (ROC) filings and compliance.
- Debenture Trustee /Bond Trusteeship: To protect the interests of Debenture Holders / Bond Holders.
- Ensured compliances with Listing Agreement, Companies Act, 2013 and SEBI Regulations.
- Monitored Security and Servicing of Debentures.
- Monitored Condition Precedent and Subsequent covenant compliance as per the agreement.
- Compliances with regulators requirements and monitored the transactions adhered to the agreement.
Internship
Economic Laws Practice Advocate and Solicitors
06.2014 - 12.2014
- Analyzed and organized legal information.
- Worked with private equity team, general corporate team and assisted them in due diligence.
- Conducted legal research in various legal topics such as Company Law, Foreign Direct Investment and State and Central Legislation
- Reviewed legal documents such as material agreements, leave and licenses contracts and labour contracts.
- Proofreading of various legal documents.
- Case Law research.
Trainee Manager
International Reinsurance And Insurance Consultancy And Broking Services Private Limited (IRICBS)
10.2013 - 05.2014
- Dpdated Brokers Circulars of Insurance Regulatory and Development Authority (IRDA).
- Maintained Claim registers of the Clients.
- Regulatory compliances with IRDA.
- Reviewed various Insurance policies.
- Understand the business of the organization.
Trainee Manager
International Reinsurance And Insurance Consultancy And Broking Services Private Limited (IRICBS)
10.2013 - 05.2014
- Compiling and updated Brokers Circulars of Insurance Regulatory and Development Authority (IRDA).
- Maintained Claim registers of the Clients.
- Regulatory compliances with IRDA.
- Reviewed of various insurance policies.
- Understand the business of the organization.
Company Secretary Articles
Mehta And Mehta Legal and Advisory Services
02.2012 - 06.2013
- Majorly for M&A's client - Deutsche Asset Management (India) Private Limited -Assisted the Compliance team in Mutual fund division.
- Verification, Proofreading and Due Diligence of KIM, SID, SAI.
- Filing of offer Documents with SEBI.
- Checking of New Scheme Report.
- Assistance in Filing: Monthly Cumulative Report.
- Bi-monthly /Quarterly /Half yearly report of AMC.
- Daily Transaction Report.
- Assisting in preparation of Reports for Board Meetings and Trustee Meetings.
- Code of Ethics: Personal Accounting Dealing of AMC employees in securities.
- Quarterly Reports/Half-yearly transactions of all employees.
- Compliance: Filing various documents with SEBI
- Filing Various Documents with RBI.
- Maintained Annual compliance calendar for companies as per the Companies Act 2013.
- Secretarial: Filing and registering any document including e-forms, returns, applications by and on behalf of the company as an authorized representative with ROC (Registrar of Companies).
- Formulating the Memorandum and Articles of Association.
- Organized the company's board meetings and annual general meeting.
- Liaised with the Company’s shareholders and directors for board approvals.
- Kept the Board Members informed of their legal responsibilities and ensuring that the company and its directors operate within the specified legal framework.
Education
ICSI -
Institute of Company Secretaries of India
New Delhi 04.2001 -
Bar Council of Maharashtra And Goa
Mumbai, India2012
Bachelor in Law (LLB) -
Kishinchand Chellaram Law College
Mumbai 04.2001 -
Bachelor of Commerce -
SIES College of Commerce And Economics
Mumbai 04.2001 -
Skills
- An eye to detail and high commitment towards work
- Good team player with leadership qualities
- Goal achiever, smart working and result oriented
- Work with an integrity and always a problem solver
- Microsoft Word, Excel, PowerPoint
- Manupatra, E-jurix, SCC-Online, India Kanoon, West Law
- Legal Research and Corporate Law Research
- Expertise in corporate secretarial and legal advisory
- Legal compliances and regulatory affairs
- Expert in legal due diligence and compliances
- Contract management and Regulatory management
- Good exposure and capable of working with top financial institutions
- Worked and engaged with top law firms and counsels
Personal Qualifications
- Company Secretary, Institute of Company Secretaries of India (ICSI), New Delhi, 02/2016
- Advocate, Bar Council of Maharashtra and Goa, Maharashtra and Goa, 2012
- Bachelor in Law, Kishinchand Chellaram Law College, Mumbai University, Mumbai, 2011
- Bachelor of Commerce, SIES College of Commerce and Economics, Mumbai University, Mumbai, 2008
Disclaimer
Note: The information provided on this resume is accurate to the best of my knowledge and belief.
Timeline
Associate
JP Morgan Chase
09.2023 - Current
Assistant Manager
Vistra ITCL (India) Limited
12.2017 - 05.2019
Manager
IDBI Trusteeship Services Limited
01.2015 - 11.2017
Internship
Economic Laws Practice Advocate and Solicitors
06.2014 - 12.2014
Trainee Manager
International Reinsurance And Insurance Consultancy And Broking Services Private Limited (IRICBS)
10.2013 - 05.2014
Trainee Manager
International Reinsurance And Insurance Consultancy And Broking Services Private Limited (IRICBS)
10.2013 - 05.2014
Company Secretary Articles
Mehta And Mehta Legal and Advisory Services
02.2012 - 06.2013
ICSI -
Institute of Company Secretaries of India
04.2001 -
Bachelor in Law (LLB) -
Kishinchand Chellaram Law College
04.2001 -
Bachelor of Commerce -
SIES College of Commerce And Economics
04.2001 -
Vice President
The Hongkong And Shanghai Banking Corporation Limited
7 2019 - 09.2023
Bar Council of Maharashtra And Goa
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