Deputy Company Secretary & Senior Legal Compliance Manager

• Jan 2019 - Present

Assistant Company Secretary

• Feb 2017 - Jan 2019

Company Secretary Associate

• Jun 2015 - Oct 2015

Secretarial Activities in compliance with UCITS Regulations 2011 and AIFM Regulations - • Proactively managed Board meetings of few Irish domiciled companies on monthly basis through preparation of agendas, compilation and distribution of board packs on Diligent, conducting the meeting, drafting of minutes, noting and following up on the action points arising from the meeting with the business. • Continuously monitored and updated board diaries of Companies to reflect changes in the regulations. • Prepared Board reports on Delegation Policy, Resolutions passed between meetings, new policies to be placed and such other corporate governance matters. • Updated Board and Central Bank of Ireland on change in the pre controlled functions of the Company. • Occasionally worked on Central Bank’s online reporting system and Blueprint. • Exceptional review of documents to be produced for Central Bank’s risk assessment of the Company. • Built good relationship with the Chairman, Directors and service providers of the Company.

Senior Executive - Compliance & Secretarial

• Feb 2013 - Nov 2014

• Significant contribution in acquisition / takeover project by Birla of products of ING Mutual Fund. Filed application with regulator and Competition Commission of India, involved in drafting the public notice/advertisement to the investors and completion of post transition activities. • Analysed and Implemented New Companies Act, 2013 and new guidelines issued by regulator. • Preparation, compilation and submission of various periodical reports to Board of Directors, Management, Association body and various Regulators. • Monitoring under SEBI (Insider Trading Regulations) 1992 - Directors and Employees Personal Dealings in securities and maintaining records of the same. • Diligently dealt with Internal Auditors, Statutory Auditors and Regulatory Auditors, coordination with other departments for data requirement, audits, implementation of policies, compliance reports. • Assistance in reviewing Investor data of the Company in compliance with Prevention of Money Laundering Act and the Office for Foreign Assets Control (OFAC list). • Complying with the data requirements at group level / parent company level. • Assisted in filing reports with Korean regulator and renewing of offshore insurance policies. • Holding and conducting Board/Audit Committee/Shareholders meetings (extra-ordinary and annual general meetings) in compliance with Companies Act (Drafting of detailed Agenda, Action Points, Minutes) of Asset Management and Trust Company. Co-ordination with the Directors and Senior management of the Company. Drafting of various Resolutions to be passed between the meetings by circulation; • Completion of process w.r.t alteration in Memorandum and Articles of Association of the Company; preparation and filing of forms; preparation of Directors Report, Annual returns of Asset Management and Trust Company; ensuring appointment of auditors, maintaining of various statutory registers as per the Companies Act.

Assistant - Compliance & Secretarial

• Jul 2008 - Feb 2013

Responsible for handling the Compliance and Secretarial activities of two companies at AIG Mutual Fund. Started as a Trainee and grew within a team of 5. Prepared and filed scheme offering documents with the regulator. Review of publishing of Annual ad half yearly returns. Prepared Agenda, Action Points, Minutes of Companies and assisted in handling the meeting. Involved in Change of Control process of the Company and actively liaised with the Lawyers to facilitate a smooth transition. Managed the Compliance and secretarial functions of PineBridge Mutual fund after it took over AIG Mutual Fund as per SEBI (Mutual Funds) Regulations, 1996 and Companies Act, 1956.