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Ms. Tejal Somaiya
F / 4 Neeta Apartment, Mithaghar Road, Mulund East, Mumbai – 400 081
Residence No.: 022 – 2163 5954, Mobile No. : +91 8879353585
Email: tsomaiya007@gmail.com
Career Objective
To be a part of professionally managed organisation which offers optimum opportunities to exhibit skills and provides ample scope for excellent career growth enhanced with Knowledge, Expertise blend with Integrity.
EDUCATION
Professional Qualification:
2007 – 2010 The Institute of Company Secretaries of India (“ICSI”)
An Associate member of the Institute of Company Secretaries of India having the associate membership number – ACS 30746
Passed Company Secretary Examination of ICSI with each successive attempt in the following years:
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In December 2009 appeared for Professional Programme of ICSI and passed with 54.125% (433/800)
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In December 2008 appeared for Executive Programme of ICSI and passed with 65% with an all India merit position of 25thrank. (390/600)
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In December 2007 appeared for the Foundation Level of ICSI and passed with 66% (329/500)
Academic Qualification:
2007 – 2010 Bachelor of Commerce
First Class with distinction from the Mulund College of Commerce, Mumbai University: 75%
2006 – 2007 Higher Secondary Certificate Examination
First Class with distinction from the Mulund College of Commerce, Mumbai University: 82.33%
2004 - 2005 Secondary School Certificate Examination
First Class with distinction from Sou Laxmibai English Medium School, Maharashtra Board: 87.20%
WORK EXPERIENCE
(I)
Jan 2013 – May 10, 2013 Destimoney Securities Private Limited
Assistant Manager: Legal & Compliance
Efficiently handling the following:
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Surveillance of trade alerts of in-house clients on the basis of alerts generated by Anti Money Laundering (“AML”) and Combating the Financing of terrorism (“CFT”) software and investigate suspicious Alerts received from the monitoring tool.
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Preparing the reports based on the above investigation outlining the investigation results and suggestive course of action to minimise frauds, if any.
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Documented the surveillance steps and procedure policy for monitoring insider trading, anti money laundering policy & code of conduct for employees and their trading patterns.
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Run through the KYC check of the on-boarding clients on a frequent basis and updating details in the AML software for monitoring the same.
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Assist in handling and maintaining the Company compliances, policies & Code of Conduct and so also ensure due diligence for preventing illegal, unethical conduct.
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Acting in the capacity of Principal Officer for a sister concern, NBFC, by monitoring of the trading alerts, as mentioned hereinabove, by preparing and circulating reports generated by the AML and CFT software to senior management for their perusal.
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Working hand in hand with the Compliance Officer & Company Secretary for analyzing data gathered through observation, identifying and reporting findings of the suspicious transactions to Financial Intelligence Unit - IND, of the alerts generated as mentioned above.
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Monitoring of the applicable circulars and notices of SEBI, Stock Exchanges, Commodity Exchanges, Reserve Bank of India, Depository and circulating the same to senior management and personnel for ensuring the compliance of the same.
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Laying down the standard operating procedure for the surveillance in order to mitigate risk.
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Efficiently managed the application for membership of Universal Commodity Exchange Limited (“UCX”) for a sister concern.
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Handled the procedure for activation of membership of Multi Commodity Exchange – Stock Exchange (“MCX-SX”) for the Company.
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Vetting and proof reading of the service level agreements for the company.
(II)
Jul 2010 - Oct 2011 (15 Months) Tata Securities Limited CS Management Trainee: Legal, Compliance & Secretarial
Efficiently handled and performed the following:
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Matters pertaining to secretarial and compliance under fields of law, among which Securities Law, Competition Act, Prevention of Money Laundering Act, Company Law being prominent.
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Preparing of Surveillance Reports related to trading in securities market which helps in monitoring the trades of clients i.e. system for tracking compliance with SEBI Insider trading regulations and Employee Trading Policy.
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Vetting of agreements of Mutual Funds for online distribution of units to prospective clients; between the “Asset Management Company” and “The Distributor”.
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Assisted in organizing of the Board Meetings and Audit Committee Meetings and preparing agenda and drafting minutes for the same.
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Liaising with office of Registrar of Companies, NSDL & CDSL, BSE, NSE, SEBI, for various matters.
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Drafting, proof reading and vetting of various legal documents such as Power of Attorneys, agreements, Annual Reports, Memorandum and Articles of association etc.
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Handling the annual and half yearly compliances related to brokers for NSE, BSE
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Handling all the Secretarial work related to filing of forms and returns with Registrar of Companies, maintenance of Statutory Registers and e-filing of the forms of the Company.
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Approval of Advisory Services product notes for Initial Public Offers, offering of debentures, off shore funds, structured product, portfolio management services
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Analysing and resolving Investor Complaints and maintaining the MIS of such complaints.
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Assisted in subsequent procedures to undertake merger i.e. obtaining approval from NSE, BSE and SEBI, making application to High Court to approve the amalgamation etc
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Assisted in updating and modifying the Demat and Trading Account Opening forms as per the SEBI regulations.
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Was assisted in applying for Membership for the provision of Portfolio Management Services with the Securities and Exchange Board of India.
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General Administration, Finance and Accounts along with liaison with inter-departments in various matters
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Compliances under various sections of Company Law and regulations of SEBI and the circulars of the same.
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Annual Filling & Compliance Audits.
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Appeared for and successfully cleared NISM Series VII: Securities Operations & Risk Management Certification Examination
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Undergone with the certified Management Skills & Orientation Programme, Professional Development Programme and Training Orientation Programme organised by the Institute of Company Secretaries of India.
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Attended a certified Depository Participant Programme organised by the Central Depository Services (India) Limited.
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NIIT certified training programme on “Understanding Information Technology in the Corporate Environment”.
Computer proficiency
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Proficient in using Microsoft Office Utilities.
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Efficient in using of the AML ad CFT software viz. Tanna Software Solutions and the Lidha Didha Package developed by Apex Softcell (India) Pvt. Ltd.
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Internet Applications
Personal Profile
· Nationality : Indian
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Languages known: English, Hindi, Marathi, Gujarati
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Hobbies: Travelling, Music, Photography, Reading.
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References: Mr. Umesh Maskeri, Tata Securities Limited
Vice President, Legal, Compliance & Secretarial
Contact No.: +91 9029015400
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