Prarthna Arora
Legal and Compliance Associate
- Role
- Legal and Compliance Associate at Religare Broking Ltd
- Location
- West Delhi, DL, IN
- LinkedIn followers
- 500 followers
About Prarthna Arora
Hello, I’m Prarthna Arora, I specialise in corporate law and understand the legal aspects of business. I\'m passionate about using my expertise to provide valuable advice and support to companies, ensuring they comply with all laws and regulations. I\'m committed to staying up-to-date with industry developments to deliver excellent results for my clients.
Experience
Legal and Compliance Associate
Oct 2025 — Present · Noida, IN
Monitored adherence to SEBI, RBI, and internal governance standards for broking and Depository Participant (DP) activities; developed and implemented compliance programs to mitigate risks.• Conducted compliance assessments, internal audits, and provided regulatory guidance to senior management.• Managed DP operations per Depositories Act, 1996, and NISM-Series-VI standards, including dematerialisation/rematerialisation, account openings, nominations, transmissions, corporate actions, pledges, and hypothecations.• Handled investor grievance redressal and maintained records for audits.• Supported securities operations and risk management (NISM-Series-VII) in Back/Middle Office and RMS; prepared BOD/EOD reports, tracked client exposures/margins in cash/F&O, and archived trade data for compliance.• Building practical skills in financial services.
Education
Maharaja Agrasen Institute of Management Studies (MAIMS Delhi)
Master of Laws, Corporate Law
2024 — 2025
The Institute of Company Secretaries of India
Executive group 1 cleared
Guru Gobind Singh Indraprastha University
Under graduate , B.B.A LL.B
2018 — 2023
School of Open Learning (DU SOL), University of Delhi
Master of Business Administration - MBA, Organizational Behaviour and Human Resources Management and Services
Guru Gobind Singh Indraprastha University (GGSIPU), Delhi
Master's degree, LL.M in corporate law
Fairfield Institute of Management & Technology
Bachelor of Laws
2018 — 2023
Maharaja Agrasen Institute of Management Studies (MAIMS Delhi)
LL.M. (corporate law)
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