Experience

M/HQ

• United Arab Emirates
• Legal Services
• 1 - 100 Employee

• Compliance Manager

  • Dec 2021 - Present

  AML Compliances • Maintain up-to-date knowledge of laws to effectively manage compliance risks, identify regulatory changes, conduct impact assessments, and support the implementation of new regulations for the clients and maintaining compliance reports. • Develop and amend compliance policies, procedures, and manuals in line with evolving legal and regulatory requirements. • AML Remediation work handled for Company (around 450 clients). • Review Client screening including background checks (World Checks & DJRS tools), performing EDD, reviewing reports on client on-boarding. Provide trainings on Compliance & client Due Diligence, In-principal approval for the KYC documents provided by the client on-boarding. Client onboarding sign off for all types of Risks including presenting reports for very high risk clients. • Review of Internal SOPS & documentation for client and advising on further improvement and impact assessment. • Provide advice, support, and training to employees in Dubai on internal compliances, conduct of business policies, procedures and on resolving compliance issues, including preparing Reports for ADGM & DIFC AML compliance, Filing SAR with FIU. • Conduct on-site and virtual risk and control assessments, draft reports detailing findings, potential solutions, and recommendations. • Consult on supporting documentation, such as manager and employee communications, FAQs, and standard operating processes. • Provide advice and oversight on Regulatory Compliance & Compliance monitoring. • Overseeing of filing of e-forms of the Companies with the Regulator specially UBO filing, AML Report. • Handling Client/Regulators call with Operational team in relation to compliance requirements. Show less



BDO UAE

• United Arab Emirates
• Accounting
• 100 - 200 Employee

• Assistant Manager

  • Jan 2019 - Nov 2021

• ..

  • Oct 2013 - Nov 2021

  • Advising on all types of regulatory compliances (post registration, renewals, amendments, visa related with respective Authorities.• Managed Incorporation/Amendments of all types of Companies in UAE, India, British Virgin Island (BVI) & Cayman. • Managed Re-structuring (Conversion, Merger and Re-domiciliation) of companies registered within & outside UAE(For e.g.: BVI/Cayman/Cyprus/Mauritius/Guernsey).• Managed Company secretarial matters for the companies like Maintenance of all statutory registers/records, assisted in complying with Board & Annual General Meeting requirement & providing Compliance Calendar, Vetting of Annual Report;• Overseeing of filing of e-forms of the Companies with the Regulator.• Drafting of various Client proposals, Manuals & SOP for the Corporate Advisory Services. • Provide advice, support/manage, and training to employees (approx.. 8 staff reporting) in Dubai on internal compliances, conduct of business policies, procedures and on resolving compliance issues, including preparing Reports for ADGM & DIFC AML compliance, Filing SAR with FIU, corporate advisory services.• Handle VAT registration in UAE and proving assistance on Economic Substance Regulation (ESR) (advisory services), managed team of 10 for the ESR, where we had managed to cater 180 clients in a month.• Review Client screening including background checks (World Checks & DJRS tools), performing EDD, reviewing reports on client on-boarding. Provide trainings on Compliance & client Due Diligence, In-principal approval for the KYC documents provided by the client on-boarding. Client onboarding sign off for all types of Risks.• Review of Internal SOPS & documentation for client and advising on further improvement and impact assessment.• Provide advice and oversight on Regulatory Compliance, Good Corporate Governance, Compliance monitoring. Show less



Flemingo Diplomatic

• Dubai

• Asst. Manager - Legal & Company Secretary.

  • May 2012 - Sep 2013

  Handling all types of Company Formation within UAE. Handling amendments & renewals of Licenses. Handling Board & General Meetings. Drafting various legal documents. etc ISO 9001-2008 Certification. Handling all types of Company Formation within UAE. Handling amendments & renewals of Licenses. Handling Board & General Meetings. Drafting various legal documents. etc ISO 9001-2008 Certification.



SBI-SG Global Securities Services Pvt. Ltd.

• Mumbai Area, India

• Asst. Compliance Manager

  • Jul 2011 - May 2012

  • Handled various compliances related to Prevention of Anti Money Laundering Act, 2002. • Handled custodian & Depositary Participant compliance r • Reviewing the reports and system of settlements, DP and Corporate Actions. • Over viewing various mandatory policies to be maintained by the Company. • Maintaining KYC norms & providing In-principle approval • Counter checking all the reporting done to RBI & SEBI. • Handled various compliances related to Prevention of Anti Money Laundering Act, 2002. • Handled custodian & Depositary Participant compliance r • Reviewing the reports and system of settlements, DP and Corporate Actions. • Over viewing various mandatory policies to be maintained by the Company. • Maintaining KYC norms & providing In-principle approval • Counter checking all the reporting done to RBI & SEBI.



63 moons technologies ltd

• India
• Information Technology & Services
• 200 - 300 Employee

• EXECUTIVE

  • Sep 2009 - Jun 2011

  I AM WORKING AS A EXECUTIVE IN LEGAL & SECRETARIAL DEPT. DOING ALL CORPORATE COMPLIANCE OF THE COMPANY UNDER VARIOUS LAWS, ACTS & REGULATIONS. HANDLING ALL CORPORATES MEETING LIKE BOARD & GERERAL MEETINGS; I AM WORKING AS A EXECUTIVE IN LEGAL & SECRETARIAL DEPT. DOING ALL CORPORATE COMPLIANCE OF THE COMPANY UNDER VARIOUS LAWS, ACTS & REGULATIONS. HANDLING ALL CORPORATES MEETING LIKE BOARD & GERERAL MEETINGS;



Panoramic Universal Limited

• India
• IT Services and IT Consulting
• 200 - 300 Employee

• Officer - Secretarial Dept.

  • Oct 2007 - Sep 2009