Rohit Jain

[email protected], [email protected] +91-9958148271 Tower No 4, Palm Olympia noidaextensionU.P

PROFESSIONAL SUMMARY

To be an integral part of a reputed, growth-oriented organization and work in a challenging and dynamic environment. To contribute to the development of the organization which I represent and serve while concurrently upgrading my skills and Knowledge.

WORK EXPERIENCE

Senior Consultant - Regulatory Compliance- Corporate Affairs & Risk Advisory
06/2022 - Present
Capgemini Technology , Noida, India
Conducting risk assessments and developing risk-based audit plans
Developing risk management strategies and plans
Conducted comprehensive Data Protection Impact Assessments (DPIAs) for new and existing projects to identify risks and enforce mitigation strategies
Developed, reviewed, and updated data privacy policies, standards, and procedures to address evolving regulatory requirements
Designed and implemented cross-border data transfer mechanisms, ensuring compliance with legal frameworks such as SCCs (Standard Contractual Clauses)
Prepared detailed audit reports highlighting areas for improvement and implemented corrective action plans for non-compliance
Assessed and managed third-party vendor compliance with data protection standards by reviewing contracts, DPAs (Data Processing Agreements), and security protocols
Designed and delivered data protection training programs to employees, raising awareness on handling personal data, data breaches, and privacy risks
Established and maintained data breach response protocols, ensuring timely reporting to regulators and mitigating impact on data subjects
Investigated and resolved data breaches while providing regulatory-compliant notifications and documentation
Designing and implementing internal control frameworks to mitigate risks
Leading or participating in investigations of potential fraud, noncompliance or unethical behavior
Evaluating the effectiveness of existing controls and recommending improvements
Communicating risk management issues and recommendations to senior management
Developing and implementing internal audit policies, procedures, and methodologies
Conducting internal audits to assess the effectiveness of internal controls, risk management processes, and governance procedures
Identifying control gaps and making recommendations to improve processes and controls
Evaluating and reporting on the adequacy of management responses to identified risks and control deficiencies
Communicating audit results and recommendations to senior management and the board of directors
Assisting in the development and implementation of enterprise risk management frameworks and methodologies
Providing guidance and training to business units on risk management and control best practices
Staying up to date on emerging risks and regulatory requirements that may impact the organization
Prepare process documents in relation to Security Incident Management
Performed testing of ITGC on multiple strategically important engagements for Internal Audit
Advise client on establishing or improving end- end risk management systems, processes, and frameworks to enhance strategic alignment with business goals, enable effective decision making and response, and monitor regulatory compliance
Performing IT internal compliance audit involving investigating and checking internal processes and procedures for clients
Preparation and implementation of access control policy, database management policy, DLP email Policy, Asset Management, Operational Security Policy, Third Party Policy
Risk Control Mapping in domains: Logical Security, Physical Security, Change Management, Problem Management
Assessment of information system control, information privacy and integrity
To advice the management in developing sound information system audit, control and security functions by providing criteria for development
Manager- Regulatory Compliance- Corporate Affairs & Risk Advisory
10/2020 - 06/2022
Jakson Limited , Noida, India
Performed testing of ITGC on multiple strategically important engagements for Internal Audit
Performing IT internal compliance audit involving investigating and checking internal processes and procedure
Conducting of Board Meetings, AGM, and any other internal meetings including preparation, circulation of agenda and holding such meetings in a timely manner, preparation of minutes, various statutory registers and records
Maintenance of statutory secretarial records, e-filing of returns with Ministry of Corporate Affairs, change of name, objects, an increase of authorized capital, alteration in MOA & AOA, the appointment of auditors and directors, issuance of shares, allotment, transfer, management of charges, Right Issue, Private placement
To liaison with Registrar of Companies, RBI & any other authorities related to secretarial matters
Liaising with external regulators and advisers, such as lawyers, auditors, government authorities, strategic partners etc
Experience in drafting, due diligence and search reports
Managing operational licenses and relevant documentation
Preparation & filing of FCTRS return on FIRMS portal
Project handing in respect to RBI compliance for divestment of investment
To liaison with Registrar of Companies & any other authorities related to secretarial matters
Assistant Manager- Regulatory Compliance- Corporate Affairs & Risk Advisory
03/2017 - 10/2020
River Engineering Private Limited , Greater Noida, India
Conducting of Board Meetings, AGM, and any other internal meetings including preparation, circulation of agenda and holding such meetings in a timely manner, preparation of minutes, various statutory registers and records
Maintenance of statutory secretarial records, e-filing of returns with Ministry of Corporate Affairs, change of name, objects, an increase of authorized capital, alteration in MOA & AOA, the appointment of auditors and directors, issuance of shares, allotment, transfer, management of charges, Right Issue, Private placement
To liaison with Registrar of Companies, RBI & any other authorities related to secretarial matters
Liaising with external regulators and advisers, such as lawyers, auditors, government authorities, strategic partners etc
Experience in drafting, due diligence and search reports
Managing operational licenses and relevant documentation
Preparation & filing of FCTRS return on FIRMS portal
Project handing in respect to RBI compliance for divestment of investment
To liaison with Registrar of Companies & any other authorities related to secretarial matters
Internal Auditor / Compliance officer
Stesalit Limited
Develop, implement and monitor a strategic, comprehensive enterprise IT risk management framework to ensure that the IT risks are identified and addressed at portfolio business level
Advise client on establishing or improving end- end risk management systems, processes, and frameworks to enhance strategic alignment with business goals, enable effective decision making and response, and monitor regulatory compliance
Ability to identify security risk, analyze, and articulate security scenarios into assessments, summary and other documentations
Ability to effectively perform the technical components of risk assessments to provide an accurate view of the client’s current risk state
Review information security and other IT policies for varied business Units periodically. Suggest changes and best practices in line with prevalent IT Risks and Organizational objectives
Ability to conduct internal audits by leveraging approved processes and methodologies
Testing of SOX Compliance for correct security controls in place to ensure that the financial data is accurate and protected against loss
providing legal/financial advice during and outside of meetings
managing contractual arrangements with suppliers/customers
Coordinate with the statutory and internal auditors for an audit of secretarial records
Ensure various compliances under the Companies Act, 2013 and other Corporate Laws
To liaison with Registrar of Companies & any other authorities related to secretarial matters
Liaising with external regulators and advisers, such as lawyers, auditors, government authorities, strategic partners etc
Experience in drafting, due diligence and search reports
Negotiating skills for availing best professional services at optimal cost
Implementation of corporate governance Practices, Secretarial Due diligence etc; Handling allotment, transfer of equity shares and subsequent formalities
Assist in preparation of financial statement (standalone & Consolidated) of the Company
Identify and evaluate financial risk
Co-ordinate with banks and financial institutions for raising funds
Company Secretary/ Compliance officer (Information technology)
10/2016 - 02/2017
RKKR Finance Private Limited , Gurgaon, India
Drafting and vetting of Sale Deed, Lease & Sub-Lease Deed
Drafting and vetting of Loan Agreement, Deed of Guarantee, Confidentiality Agreement, MOU and LOI
Drafting, vetting, finalizing and maintaining the record of various commercial agreements, Memorandum of Understanding, Sale deed, service agreements and various other legal documents
Prepare /review all internal documents related to loans/agreements/associations including Projects related/Loans/Financial Documents
provide support in various internal projects related to the Standardization of legal documents / Having agreements/processes
Experienced in Power Point, Word, Excel
capable of handling multiple legal assignments and ensure minimization of legal risks to the organization
Primary reviewer/negotiator for commercial agreements including,Work Orders, Vendor Contracts, NDAs
Ability to take ownership of projects and - run with them- to completion
Interaction with external counsels, government/regulatory bodies both local and international
End-to-end ownership of Circle Legal and Regulatory requirements
Advisory support to all other functions viz. Marketing, Sales, Customer Experience, Finance, Supply Chain, by providing required assistance and advice on Legal aspects of their respective processes
Company Secretary/ Compliance officer (Information technology)
10/2014 - 09/2016
International Amusement Ltd. , Noida, India
Responsible for the smooth implementation of ISO 27000 with ISO 31000 (Risk Management)
Develop, implement and monitor a strategic, comprehensive enterprise IT risk management framework to ensure that the IT risks are identified and addressed at portfolio business level
To ensure and perform the role of custodian of internal financial control system as per Indian corporate law as well as follow the guideline of international standard
Prepare and evaluate an Income Statement, Balance sheet, Cash Flow Statement, Fund Flow Statement
Common Size Analysis, Comparative Analysis, Ration Analysis
Financial Reporting Mechanics, Business Decision Modeling, Forecasting Interest and Dividend income, Debt Schedule, Sensitivity analysis, Equity Valuation, Peer to Peer analysis, financial statement Analysis, Project Modeling
Secretarial Compliance comprising filling various forms and preparing documents for Appointment and resignation of Directors, MD, Whole Time Directors, Alteration in Memorandum of Association and Articles of Association, appointment of auditor etc
Incorporation of private companies
Assist in Conduct of Board Meetings, AGM, and any other internal meetings including preparation, circulation of agenda and holding such meetings in a timely manner, preparation of minutes, various statutory registers and records
Change of name, objects, an increase of authorized capital, alteration in MOA & AOA, the appointment of auditors and directors, issuance of shares, allotment, transfer, management of charges, Right Issue, Private placement
Providing support to committees and working parties such as the Board of Directors etc
providing legal/financial advice during and outside of meetings
managing contractual arrangements with suppliers/customers
Coordinate with the statutory and internal auditors for an audit of secretarial records
Prepare and file various returns under FEMA & RBI Regulations
To liaison with Registrar of Companies, RBI, SEBI& any other authorities related to secretarial matters
Experience in drafting, due diligence and search reports
Handling work / assignments related to overseas companies of the Group
Company Audits viz Internal Audit, Secretarial audit and Statutory Audit done by Ernst & Young alongside accounts and finance department

EDUCATION

Passed C.S (Company Secretary) Final Group
12/2014
Institute of Company Secretaries of India (ICSI)
Diploma in Internal Audit
01/2017
ICSI
LLB
Dr. B.R.A University Agra , Agra, India
Certification in Financial Modeling
IMS Pro, Preet Vihar, New Delhi & National Stock Exchange, Delhi (NCFM Series) , New Delhi, India
CIPP/E
06/2024
IAPP
Pursuing CIPM
IAPP
B. Com
01/2006
Dr.Bhim Rao Ambedkar University Agra , Agra, India GPA: 52%
Intermediate
01/2003
U.P Board, Allahabad , Allahabad, India GPA: 72%
High School
01/2001
U.P Board, Allahabad , Allahabad, India GPA: 60%

SKILLS

PROJECTS

Abu Dhabi Digital Authority (ADDA)
Technologies: ISO 27001, ISO 31000, DPIA, SCCs, ITGC
Conducting risk assessments and developing risk-based audit plans
Developing risk management strategies and plans
Conducted comprehensive Data Protection Impact Assessments (DPIAs) for new and existing projects to identify risks and enforce mitigation strategies
Developed, reviewed, and updated data privacy policies, standards, and procedures to address evolving regulatory requirements
Designed and implemented cross-border data transfer mechanisms, ensuring compliance with legal frameworks such as SCCs (Standard Contractual Clauses)
Prepared detailed audit reports highlighting areas for improvement and implemented corrective action plans for non-compliance
Assessed and managed third-party vendor compliance with data protection standards by reviewing contracts, DPAs (Data Processing Agreements), and security protocols
Designed and delivered data protection training programs to employees, raising awareness on handling personal data, data breaches, and privacy risks
Established and maintained data breach response protocols, ensuring timely reporting to regulators and mitigating impact on data subjects
Investigated and resolved data breaches while providing regulatory-compliant notifications and documentation
Designing and implementing internal control frameworks to mitigate risks
Leading or participating in investigations of potential fraud, noncompliance or unethical behavior
Evaluating the effectiveness of existing controls and recommending improvements
Communicating risk management issues and recommendations to senior management
Developing and implementing internal audit policies, procedures, and methodologies
Conducting internal audits to assess the effectiveness of internal controls, risk management processes, and governance procedures
Identifying control gaps and making recommendations to improve processes and controls
Evaluating and reporting on the adequacy of management responses to identified risks and control deficiencies
Communicating audit results and recommendations to senior management and the board of directors
Assisting in the development and implementation of enterprise risk management frameworks and methodologies
Providing guidance and training to business units on risk management and control best practices
Staying up to date on emerging risks and regulatory requirements that may impact the organization
Prepare process documents in relation to Security Incident Management
Performed testing of ITGC on multiple strategically important engagements for Internal Audit
Advise client on establishing or improving end- end risk management systems, processes, and frameworks to enhance strategic alignment with business goals, enable effective decision making and response, and monitor regulatory compliance
Performing IT internal compliance audit involving investigating and checking internal processes and procedures for clients
Preparation and implementation of access control policy, database management policy, DLP email Policy, Asset Management, Operational Security Policy, Third Party Policy
Risk Control Mapping in domains: Logical Security, Physical Security, Change Management, Problem Management
Assessment of information system control, information privacy and integrity
To advice the management in developing sound information system audit, control and security functions by providing criteria for development
Campari- Italy
Technologies: ISO 27001:2013, ISO 27701, RSA Archer
Conduct risk assessment & health monitoring in RSA Archer tool
Evaluation of Contracts, Assessments, MSA abstractions and due diligence
Assessment of the current process, identifying improvement areas and suggestion solutions
Working on framework of ISO 27001:2013 , ISO 27701
Reporting and presentation to management or client on the status of the privacy program
Assisting in conduction IT Audits ( information Security) and reports

CERTIFICATIONS

Passed C.S (Company Secretary) Final Group
12/2014
Institute of Company Secretaries of India (ICSI)
Diploma in Internal Audit
01/2017
ICSI
Certification in Financial Modeling
IMS Pro, Preet Vihar, New Delhi & National Stock Exchange, Delhi (NCFM Series)
CIPP/E
06/2024
IAPP
Pursuing CIPM
IAPP