Open to opportunities

payal gupta

@payalgupta

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Results-driven finance and compliance professional with extensive experience.

India

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What I'm looking for

I am seeking a role that offers growth opportunities in finance and compliance, within a supportive company culture.

I am a results-driven finance and compliance professional with over three years of experience in transfer agency treasury services and more than four years in secretarial and corporate compliance, taxation, and auditing. My expertise lies in AML/KYC regulations, investor services, legal documentation, and financial transactions. I am adept at managing high-value fund transfers while ensuring regulatory compliance and streamlining financial operations.

In my role as a Senior Executive at NAV Consulting Inc., I processed various payment types for third-party vendors and investor redemptions, ensuring compliance with AML/KYC regulations. I have strengthened internal processes to facilitate secure and compliant fund transfers, collaborated with internal teams to enhance customer service, and resolved discrepancies efficiently. My previous experience as an Associate Company Secretary involved managing MCA-21 portal filings, drafting corporate documents, and conducting statutory audits, showcasing my comprehensive understanding of corporate law and financial compliance.

Experience

Work history, roles, and key accomplishments

Sr. Executive, Transfer Agency Treasury Services

NAV Consulting Inc.

Apr 2021 - Present (4 years 3 months)

Processed payments for third-party vendors, investor redemptions, and broker money movements, ensuring compliance with AML/KYC regulations. Investigated failed payments by coordinating with banks and clients, resolving discrepancies efficiently.

KYC Regulatory Compliance Fund Transfers Payment Processing Wire Transfers ACH Vendor Management

Management Trainee (CS Article)

CS Himanshu Khandelwal

Oct 2018 - Present (6 years 9 months)

Completed a management trainee program focusing on company secretarial practices. Gained practical experience in corporate compliance and legal documentation.

Corporate Compliance Legal Documentation Secretarial Practices Secretarial Practice

Associate Company Secretary

K.J. Services (CA Sonal Jain)

Feb 2018 - Present (7 years 5 months)

Managed MCA-21 portal filings and drafted legal documents such as notices, resolutions, and minutes of board meetings. Conducted statutory audits and led stock audits, while also filing GST, TDS, and Income Tax returns.

Secretarial Compliance Corporate Law Taxation Auditing MCA 21 Tally GST TDS

CA Articleship

M/s H.M. Singhvi & Co.

Aug 2013 - Present (11 years 11 months)

Undertook an articleship, gaining comprehensive experience in various aspects of accounting and auditing. Assisted in financial statement preparation and tax compliance.

Accounting Auditing Financial Statements Tax Compliance Tally Financial Operations

Education

Degrees, certifications, and relevant coursework

Vidhyasthali Law College, Jaipur

LL.B, Law

Completed a Bachelor of Laws degree. Studied various aspects of law, preparing for a career in legal and compliance fields.

ICSI

Company Secretary (CS), Company Secretaryship

Obtained the Company Secretary qualification from ICSI. Focused on corporate governance, secretarial practices, and legal compliance.

ICAI

CA-Inter (IPCC), Chartered Accountancy

Completed the Intermediate Professional Competence Course from ICAI. Gained knowledge in accounting, auditing, and taxation.

University of Rajasthan

M.Com (A.B.S.T), Accountancy and Business Statistics

Earned a Master of Commerce degree with a specialization in Accountancy and Business Statistics. Developed advanced understanding of financial management and statistical analysis.