SWATI SAVLA
Company Secretary
Summary
Compliance professional with history of ensuring organizational adherence to regulatory standards. Adept at designing and implementing compliance frameworks that support business objectives. Known for strong collaboration with cross-functional teams and adapting to evolving regulatory landscapes. Key skills include risk assessment and regulatory reporting.
Overview
10
10
years of professional experience
3
3
Languages
Work History
Compliance Officer
GoldStandard Wealth Private Limited
12.2025 - Current
- Evaluated new regulations for potential impact on business operations, taking proactive measures to ensure readiness for implementation.
- Collaborated with cross-functional teams to address compliance concerns, fostering a culture of shared responsibility.
- Mitigated regulatory/internal risks by proactively identifying gaps in existing policies and recommending improvements.
- Championed ethical business practices, instilling a sense of corporate social responsibility across all departments.
COMPLIANCE OFFICER
QUANTUM INFORMATION SERVICES PVT LTD
03.2024 - 11.2025
- Compliance Head, Maintenance of Statutory Registers under Companies Act, 2013 and Independently handling the various Regulations under SEBI and AMFI purview.
- Developed comprehensive training programs to increase employee awareness of compliance requirements and expectations.
- Managed relationships with regulators, maintaining open lines of communication to ensure transparent operations.
- Demonstrated adaptability in response to evolving industry standards, maintaining best practices in a dynamic regulatory environment.
- Assisted in negotiating contracts with external partners, ensuring adherence to relevant regulatory requirements throughout the partnership lifecycle.
- Enhanced regulatory compliance by developing and implementing comprehensive policies and procedures.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
- Vetted various marketing materials from regulatory prospects.
- Evaluated new regulations for potential impact on business operations, taking proactive measures to ensure readiness for implementation.
- Mitigated legal risks by proactively identifying gaps in existing policies and recommending improvements.
FREELANCER
CONSULTANT
09.2023 - 03.2024
- Conducted audits for SEBI regulated entities
- Enhanced client satisfaction by delivering high-quality work within deadlines.
COMPLIANCE OFFICER/PRINCIPAL OFFICER
AGVESTO INDIA IMF PRIVATE LIMITED
09.2022 - 08.2023
- Independently working on compliances related IMF regulations/IMF registered Company.
- Facilitated communication between departments, ensuring timely updates on compliance changes and their impact on operations.
- Advised senior management on strategic planning initiatives, incorporating compliance considerations into decision-making processes.
- Ensured continuous improvement in compliance practices by setting up feedback loop with key stakeholders.
COMPLIANCE OFFICER
QUANTUM INFORMATION SERVICES PRIVATE LIMITED
04.2017 - 09.2022
- Independently handling the SEBI Investment Adviser Regulations ;
- Independently resolving the audit queries under various regulations of the Company;
- Reporting on Company procedures & developments in a timely & accurate manner so as to comply with the regulations;
- Maintaining various Registers required under the regulations.
- Filing of various regulatory forms
- Conducting Board Meetings, Annual General Meetings of the Company.
COMPANY SECRETARY
AGIO PHARMACEUTICALS LTD.
02.2016 - 01.2017
- Filing of various ROC Forms, Maintaining Statutory Register of Company, Vetting of Legal documents etc.
- Safeguarded company interests by drafting clear, legally sound contracts and agreements for various business transactions.
- Streamlined internal communication channels by creating a centralized database for key company documents and policies.
Education
COMPANY SECRETARY - CORPORATE LAW
ICSI
01.2014
POST GRADUATE DIPLOMA - SECURITIES LAW
GOVERNMENT LAW COLLEGE
01.2020
MASTERS IN COMMERCE - FINANCE
MUMBAI UNIVERSITY
01.2014
BACHELORS OF COMMERCE - COMMERCE
GHANSHYAMDAS SARAF COLLEGE
01.2012
H.S.C - COMMERCE
DURGADEVI SARAF COLLEGE
01.2009
S.S.C - undefined
FATIMA DEVI ENGLISH HIGH SCHOOL
01.2007
Skills
Compliance monitoring
Internal controls
Auditing processes
Documentation review
Compliance reviews
Policy analysis
Corporate governance
Timeline
Compliance Officer
GoldStandard Wealth Private Limited
12.2025 - Current
COMPLIANCE OFFICER
QUANTUM INFORMATION SERVICES PVT LTD
03.2024 - 11.2025
FREELANCER
CONSULTANT
09.2023 - 03.2024
COMPLIANCE OFFICER/PRINCIPAL OFFICER
AGVESTO INDIA IMF PRIVATE LIMITED
09.2022 - 08.2023
COMPLIANCE OFFICER
QUANTUM INFORMATION SERVICES PRIVATE LIMITED
04.2017 - 09.2022
COMPANY SECRETARY
AGIO PHARMACEUTICALS LTD.
02.2016 - 01.2017
POST GRADUATE DIPLOMA - SECURITIES LAW
GOVERNMENT LAW COLLEGE
MASTERS IN COMMERCE - FINANCE
MUMBAI UNIVERSITY
BACHELORS OF COMMERCE - COMMERCE
GHANSHYAMDAS SARAF COLLEGE
H.S.C - COMMERCE
DURGADEVI SARAF COLLEGE
S.S.C - undefined
FATIMA DEVI ENGLISH HIGH SCHOOL
COMPANY SECRETARY - CORPORATE LAW
ICSI
Phone
Indian Contact Number +91 8082431161