Preeti Pal

About Preeti Pal

I am a senior Corporate Compliance, Governance, and Regulatory professional,(Chief Compliance Officer (CCO) and Company Secretary), with deep expertise in NBFC regulatory compliance, corporate secretarial practice, and governance frameworks within the NBFC sector and large multinational organization.I bring strong working knowledge of the Companies Act, 2013 & 1956, RBI (NBFC) regulations, SEBI regulations (listed debenture compliance), ROC filings, and stock exchange compliances. My experience spans end-to-end compliance management, regulatory advisory, independent compliance testing, and enterprise-wide policy implementation. I have consistently strengthened internal controls, compliance frameworks, and governance structures to mitigate regulatory risk and ensure operational effectiveness. I act as the nodal officer for RBI inspections, supervisory communication, and regulatory responses.I have extensive exposure to Board and Committee governance, including Board Meetings, Audit Committee, NRC, CSR, Risk Management Committee, Debenture Issuance & Allotment Committee, Local Operations Committee, and Shareholders’ Meetings (including pre and post board/committee meeting compliance).I offer hands-on merger and restructuring experience, having actively supported four merger transactions, providing end-to-end secretarial and regulatory support including approvals, filings, documentation, and stakeholder coordination—critical exposure for regulated financial entities.My responsibilities have included statutory records and ROC compliances, creation, modification, and satisfaction of charges, Annual Returns, issuance of ISIN for equity shares, and ongoing compliance with Debenture Trustees, Stock Exchanges, and RBI. I have drafted, vetted, and issued Powers of Attorney, including cross-border POA issuance for Citibank Hong Kong employees across 22 entities, and resolved complex regulatory queries.I have led Citi Group (India) internal reporting and regulatory change management through CLEMS and GEMS, ensuring timely impact assessment and implementation. I have also assisted in obtaining approvals from the Regional Director (RD) for shifting of registered office, condonation of delays, and director-related contracts. Additionally, I have contributed to drafting and implementation of governance policies and procedures.Earlier in my career, I gained valuable taxation and finance exposure, enabling a holistic understanding of regulatory, financial, and operational interdependencies—an essential capability for CCO and NBFC leadership roles.

Experience

1. Chief Compliance Officer

   Kinara Capital

   Jun 2023 — Present · Bengaluru, IN

Education

• MJP Rohilkhand University, Bareilly

  Business/Commerce, General

• Mahatma Jyotiba Phule Rohilkhand University (MJPRU), Bareilly

  Bachelor of Laws - LLB, Law

• The Institute of Company Secretaries of India (ICSI)

  Company Secretary, Banking, Corporate, Finance, and Securities Law

Skills

• Vetting
• Incorporation
• Due Diligence
• Mergers
• Foreign Investment
• Tax
• Company Law
• Corporate Law
• Intellectual Property
• Corporate Governance
• Company Secretarial Work