Experience

Elara Capital

• United Kingdom
• Financial Services
• 100 - 200 Employee

• Chief Compliance Officer

  • Feb 2012 - Present



UTI International Limited

• Manager - Compliance & Investor Relations

  • Jul 2010 - Feb 2012

  As a Manager, I have the surmounting responsibility of assuring the management that the company is abiding with all the rules and regulations as directed by its Regulators. Responsibilities as a Manager comprised of variety of roles spanning Compliance, Anti - Money Laundering (AML), KYC, Support to Operations etc. I was involved in launching of Offshore Funds, setting up overseas investment companies, incorporating Sub Accounts/Sub Classes. My roles also includes managing of Secretarial Matters like Managing Board/General/Committee Meetings globally, Filing Forms, Returns and various other documents to the requisite Regulators on a timely basis, Redressal of investor complaints, Organising Regular Training of AML for Directors, Senior Management and Employees.



Reliance Capital Asset Management UK PLC

• Assistant Manager - Legal & Compliance

  • Jul 2008 - Jul 2010

  My role as an Assistant Manager demanded continuous co-ordination with all the departments for efficient operation as well as compels me to keep myself updated with all the legal and compliance amendments. I was involved in Convening Board/General Meetings, Co-ordinating with the international Subsidiaries/branch offices, interacting with the Regulators such as FSA & Companies House, SEBI etc., addressing to their queries/requirements, Complying with their statutory & Secretarial requirements, Preparing and finalising the Quarterly/Half yearly Reports etc.



Reliance Capital Asset Management limited, India

• Assistant Manager

  • Jul 2005 - Jul 2008

  In my Role as an Assistant Manager, I was responsible for Pre & Post Compliances with regard to New Fund launch / Additional In my Role as an Assistant Manager, I was responsible for Pre & Post Compliances with regard to New Fund launch / Additional