Summary
Overview
Work History
Education
Accomplishments
Timeline
Generic

KHUSHBU SHAH

Chicago,IL

Summary

Qualified Company Secretary and a Lawyer with 6+ years of experience in the field of Regulatory Compliance across banks and NBFC's. I am a quality oriented professional who has consistently demonstrated leadership, teamwork and multitasking abilities in every aspect of my varied roles. I have moved to Chicago in June 23' and looking forward to explore relevant job opportunities.

Overview

7
7
years of professional experience

Work History

Sr. Consultant - Regulatory Compliance | India

Ernst & Young LLP
03.2021 - 02.2023
  • Led 5 consultants independently for a public sector UAE bank.
  • Coordinated closely with business units to conduct gap assessments and implement necessary processes and controls.
  • Maintained continuous monitoring of business processes, identifying potential risks and implementing necessary controls to meet regulatory standards.
  • Prepared project status updates, reports, and presentations to communicate findings with management.
  • Reviewed policies according to regulatory requirements.
  • Collaborated with business units and vendor to support management in implementing regulatory compliance module.
  • Ensured timely achievement of project goals by monitoring progress continuously.
  • Reviewed deliverables before release to ensure adherence to quality standards.
  • Created and implemented performance metrics that assessed the team's strengths and identified areas for growth.
  • Advised clients on optimal business practices for improved operations.

Manager- Regulatory Compliance | India

ICICI Housing Finance Company Ltd
08.2019 - 09.2020
  • Monitored regulatory circulars/guidelines to interpret applicability and mapped obligations to relevant business units for compliance.
  • Managed NHB onsite inspection independently and crafted response for issued observations.
  • Evaluated policies and process notes for adherence to applicable regulations.
  • Assisted in the implementation of GDPR requirements across the Company.
  • Conducted visits to branches across India for compliance report preparation.
  • Delivered comprehensive, compliance-based training sessions to company staff.

Sr. Executive- Compliance | India

Dewan Housing Finance Corporation Ltd
04.2017 - 07.2019
  • Monitored and summarized newly issued circulars, notices, and orders for dissemination to stakeholders.
  • Ensured compliance with SEBI Listing Regulations, Companies Act, 2013, and Secretarial Standards.
  • Coordinated with business units to gather required information for monthly Compliance Certificate preparation.
  • Reviewed Confidentiality/Non-Disclosure Agreements and Service Agreements.
  • Assisted the Secretarial and Statutory Auditors in conducting audits for the company.

Management Trainee- Compliance | India

Tata Securities Limited
09.2015 - 09.2016
  • Managed secretarial compliances for Companies Act, 2013 and Secretarial Standards. Oversaw surveillance and monitoring of SEBI Stock Broking Regulations.
  • Prepared documents for investor grievances, NDAs, POAs, Service Contract agreements, Leave and License Agreements, and branch terminations.
  • Prepared registration documents for UIDAI AUA/KUA status
  • Prepared Disclosure Documents for Portfolio Management (PMS) and Merchant Banking (MB), including quarterly and half-yearly reports.
  • Prepared Risk Assessment Templates for Depository Operations.

Education

IACCP Certification
NRS & COMPLY, USA

Bachelor of Law
Mumbai University, India | 2019

Company Secretary
Institute of Company Secretaries of India | 2015

Bachelor of Commerce
Mumbai University, India | 2014

Accomplishments

  • Best Team Lead Award and Outstanding Performer Award at Client Location
  • 'I am Exceptional' Team Member Award at E&Y

Timeline

Sr. Consultant - Regulatory Compliance | India

Ernst & Young LLP
03.2021 - 02.2023

Manager- Regulatory Compliance | India

ICICI Housing Finance Company Ltd
08.2019 - 09.2020

Sr. Executive- Compliance | India

Dewan Housing Finance Corporation Ltd
04.2017 - 07.2019

Management Trainee- Compliance | India

Tata Securities Limited
09.2015 - 09.2016

IACCP Certification

Bachelor of Law

Company Secretary

Bachelor of Commerce

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