Open to opportunities

rajvi shah

@rajvishah

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Experienced Company Secretary with a strong compliance and legal background.

India

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What I'm looking for

I seek a challenging role in compliance or legal where I can leverage my expertise to drive regulatory excellence and contribute to organizational growth.

I am a qualified Company Secretary with over 11 years of extensive experience in compliance, secretarial, and legal activities. My career has been marked by a commitment to excellence and a proactive approach to regulatory challenges. I take pride in my ability to manage compliance functions effectively, ensuring that all regulatory deadlines are met without fail. My role as a Compliance Officer and Company Secretary has allowed me to pioneer the setup of legal and compliance functions for various financial services firms, demonstrating my capability to lead and innovate in complex environments.

Throughout my career, I have successfully liaised with regulatory bodies such as SEBI, RBI, and IRDA, obtaining essential licenses and registrations that have been critical to the operations of the organizations I have served. My experience spans across multiple sectors, including wealth management and merchant banking, where I have developed a robust compliance framework and governance policies. I am passionate about knowledge enrichment and continuously seek to enhance my skills and expertise in the legal and compliance domain.

Experience

Work history, roles, and key accomplishments

Current

Head - Company Secretary & Compliance

Current

Aditya Birla Capital Digital Limited

Aug 2023 - Present (1 year 10 months)

Responsible for all regulatory filings and submissions, liaising with various regulators, and overseeing compliance functions. Successfully obtained multiple licenses and registrations for the company, while reviewing policies and legal agreements.

Compliance Management Regulatory Compliance Agreements Review Corporate Governance Risk Management Licensing

Head – Legal, Secretarial & Compliance Officer

Epsilon Money Mart Pvt. Ltd.

Apr 2022 - Jul 2023 (1 year 3 months)

Led legal, compliance, and secretarial functions for a wealth management startup. Successfully obtained various registrations and licenses, and implemented compliance training and policies.

Legal Compliance Mutual Fund Registration Policy Implementation Corporate Governance Risk Assessment

Compliance Officer and Company Secretary

Raine Advisors India Pvt. Ltd.

Dec 2018 - Apr 2022 (3 years 4 months)

Oversaw legal, secretarial, and compliance functions for a licensed merchant banking firm. Established compliance frameworks and ensured adherence to regulatory requirements.

Compliance Regulatory Compliance Licensing Risk Management Legal Documentation

Associate Legal & Compliance

Morgan Stanley Advantage Services

Apr 2017 - Dec 2018 (1 year 8 months)

Managed corporate secretarial activities across Asia Pacific for Morgan Stanley. Coordinated board meetings and ensured compliance with corporate governance across multiple jurisdictions.

Corporate Governance Compliance Management Coordination Regulatory Compliance Offshoring Stakeholder Engagement Legal Documentation

Manager – Compliance & Secretarial

Baroda Pioneer Asset Management Company Ltd.

Feb 2017 - May 2017 (3 months)

Executed compliance functions including scheme launches and regulatory reporting. Managed corporate secretarial duties and ensured adherence to legal requirements.

Compliance Regulatory Reporting Legal Compliance Meeting Management Documentation Risk Management