Listening Music
Saloni Doshi
Senior Manager - Compliance
B 1 - 701, Hilton Enclave, Off Telephone Exchange, Jivdaya Lane, Ghatkopar (West), Mumbai
Summary
Innovative and goal-oriented Management professional committed to overall Compliance including Due Diligence, Anti Bribery & Corruption, Gifting & Hospitality, etc. Dedicated team player skilled at mediation and conflict resolution. Drives company growth through actions & delivering results.
Overview
12
12
years of professional experience
2013
2013
years of post-secondary education
6
6
Languages
Work History
Senior Manager - Compliance
VFS Global
05.2019 - Current
- Conducting Due Diligence of Third Parties - screening and Back ground verification of all the Customers, Vendors, Consultants, Sub-Contractors, etc on internal tool (Refinitiv World Check) & through Third Party Vendor, Ethixbase UK Ltd & Trace
- Managing multiple modules on Archer (TPRM, G & H, Exception Management, etc)
- Managing Risk Assessments on Archer
- Managing Conflict of Interest Module
- Managing Gifting & Hospitality process
- Audit Readiness & Implementation of Recommendations - Ensuring Intimation / Pre-Clearance Process is being followed
- Annual Certification of all Gifting & Hospitality done
- Implementation & execution of total16 policies such as Due Diligence policy, Anti Bribery & Corruption policy, Gifting & Hospitality, Conflict of Interest, Code of Conduct, UK Modern Slavery Act, 2015, etc
- End to end training on Anti Bribery & Corruption, Gifting & Hospitality, TPRM to all the employees globally on annual basis
- Ensuring do’s and dont’s are being followed across the organization
Legal & Secretarial Executive
NYK Auto Logistics (India) Private Limited
02.2016 - 04.2019
- Secretarial: Preparation of Notices, Agendas & conducting of AGM, Board, EGM & Committee Meetings
- Drafting of resolutions
- Preparing & finalizing the minutes of meetings held
- Maintaining & updating the Statutory Registers
- Filing of various forms such as MGT-7, MGT – 9, MGT – 14, AOC -4, etc with MCA
- Filing of Annual Return, Handling Printing, Proof-reading and finalizing of Annual Return
- Handled the process of issue of shares through Private Placement, External Commercial Borrowings (ECB), Overseas Direct Investment (ODI), Joint Venture, etc
- Handling all matters relating to Registrar of Companies (ROC)
- Compliances as per Companies Act, 2013 as well as Companies Act, 1956
- Any other tasks required in Secretarial field
- Legal: Drafting, vetting & finalizing of various automotive industry related Letter of Intent (LOI), Contract Agreement & Addendums such as Leave & License Agreement, Various Lease Agreements, Bus Hire Agreements, Catering Agreements, Transportation Agreements, Affidavit, Undertaking, Agreement to Sale, Power of Attorney, etc
- Any other tasks required in Legal field
- Accounts: Pulling of Accounts through e-Mist
- Calculation of TDS on all Vendor Bills
- Handling Depreciation every month of PAN India fixed assets of the Company
Legal & Secretarial Executive
Vibgyor High – A Unit of Rustomjee Kerawalla Foundation
06.2014 - 12.2015
- Preparation of Notices, Agendas & conducting of AGM, Board & Committee Meetings
- Drafting of Minutes of Meetings
- Maintaining & updating Statutory Registers and incorporating in the disclosures made by the Directors
- Experience in handling compliances
- Preparation of Annual reports & all other matters forming part of it
- To assist the statutory & secretarial auditors
Compliance Officer – Risk & Compliance
NNM Securities Pvt Ltd
11.2012 - 05.2014
- Maintaining books of accounts of the Company
- Trading and dealing with shares under all Stock Exchanges of India, etc
- Complying all rules & regulations as prescribed under Companies Act, 1956
- Filing of Annual Returns, Annual Compliance Returns, Compliance Certificates, Internal Audit Reports, etc
- Drafting of notices
- Keeping & managing details of CDSL & KYC
- Co-ordinate with SEBI, ROC & all Exchanges in the matters of compliance
- Managing risk & compliance policies as mentioned by the Act
- Drafting legal notices & resolutions
- Legal writing
Education
CS - Professional Program -
Institute of Company Secretaries of India
CS - Executive Program - undefined
Institute of Company Secretaries of India
CS - Foundation Program - undefined
Institute of Company Secretaries of India
Bachelor of Commerce (B.com) - undefined
Narsee Monjee College of Commerce & Economics
Class XII - undefined
Narsee Monjee College of Commerce & Economics
Class X - undefined
Children’s Academy School
Skills
Cross-functional communication
Documentation and reporting
Cross-functional team coordination
Effective communication
Problem-solving abilities
Time management
Work Planning and Prioritization
Adaptability and flexibility
Problem-solving aptitude
Process improvement
Multitasking
Personal Information
- Date of Birth: 03/14/91
- Nationality: Indian
- Marital Status: Single
Activities
Participated with the working committee for the management of the college cultural festival 'THE CULTURAL SOCIETY ‘09'
Accomplishments
• Was awarded thrice in Peer to Peer Rocks category (2019, 2020 & 2021), twice in Manager Award – Performance of the Year category (2022), thrice in Champions of the Month category (2019,2020 & 2021) & once in Champions of the Quarter category (2022)
• Assisted in launching the Incident Management Module (IMS) Module on Archer in 2020
• Assisted in launching the Third-Party Risk Management (TPRM) Module on Archer in 2021.
• Assisted in launching the Anti-Bribery (Gifts & Hospitality) Module on Archer in 2022.
• Assisted in automating the Annual Country Manager / HOD and RFC Certification Process on Archer in 2023
• Involved in Development of Conflict of Interest (COI) Module (2025)
Affiliations
Lead Internal BCMS Auditor affiliated with TUV SUD South Asia Pvt Ltd
Interests
Cooking
Travelling
Learning new languages
Timeline
Senior Manager - Compliance
VFS Global
05.2019 - Current
Legal & Secretarial Executive
NYK Auto Logistics (India) Private Limited
02.2016 - 04.2019
Legal & Secretarial Executive
Vibgyor High – A Unit of Rustomjee Kerawalla Foundation
06.2014 - 12.2015
Compliance Officer – Risk & Compliance
NNM Securities Pvt Ltd
11.2012 - 05.2014
CS - Executive Program - undefined
Institute of Company Secretaries of India
CS - Foundation Program - undefined
Institute of Company Secretaries of India
Bachelor of Commerce (B.com) - undefined
Narsee Monjee College of Commerce & Economics
Class XII - undefined
Narsee Monjee College of Commerce & Economics
Class X - undefined
Children’s Academy School
CS - Professional Program -
Institute of Company Secretaries of India
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