Rohit Prakash
Compliance Specialist | Board Member | CAMS | MCSI
- Role
- Head - Legal and Compliance at Emint
- Location
- Bengaluru, KA, IN
- LinkedIn followers
- 500 followers
About Rohit Prakash
Rohit is a seasoned Compliance Specialist with broad exposure in areas of Compliance, Legal and Company Secretarial role having worked with the largest Financial Institutions of India.Rohit holds membership of the following Institutes-• Association of Certified Anti-Money Laundering Specialist (ACAMS)- CAMS• The Chartered Institute for Securities & Investment (CISI)- MCSI• The Institute of Company Secretaries of India (ICSI)- ACSSome of the key responsibilities & positions held during work tenure-• Represented India at global platform, for its FATF\'s (Financial Action Task Force) mutual evaluation;• As Executive Director (Board Member) of Global Crypto Exchange & Wealth Management Firm;• Designated Partner in Investment Manager Entity of Alternate Investment Funds;• Independent Director in Asia’s largest Packaging Company- As Advisory Board Member Guiding Company on Regulatory Compliance aspects;• As Regulatory Auditor conducting Audit of Stock Brokers- Stock Broking Regulations for 4 Years;• Set-up end-to-end Wealth Management Business for 3 different Companies- comprising of Mutual Fund & PMS Product Distribution, Stock Broking, Alternate Investment Funds, Portfolio Management, Investment Advisory, Structuring of Offshore Funds, Insurance Broking;• As Company Secretary of a deemed Public Company & its wholly owned subsidiary- Company Law & related Regulations for more than 3 Years;• Formulating & Managing AML/ PMLA related Policies & Process for around 10 Years;• Handling Compliances for Mutual Fund Regulations for around 3 Years;• As Head of Legal for Wealth Management firms for more than 4 Years.
Experience
Head - Legal and Compliance
Jul 2024 — Present
Built Emint, an Investment App, with product offerings- Stock Broking, National Pension Scheme & Corporate Fixed Deposits.
Education
National University of Juridical Sciences, Kolkata
Post Graduation in Business Law
2013 — 2014
University of Calcutta
Bachelor of Commerce
2006 — 2009
National Law University, Jodhpur
Master's in Corporate Law
2013 — 2015
The Chartered Institute for Securities & Investment (The CISI)
MCSI, International/Global Studies
2021
The Institute of Chartered Accountants of India
Accountancy
2006 — 2011
The Institute of Company Secretaries of India
Company Secretary
2008 — 2011
Skills
- Capital Markets
- Corporate Law
- Corporate Governance
- Corporate Finance
- Mutual Funds
- Aml
- Due Diligence
- Regulatory Compliance
- Legal Compliance
- Company Secretarial Work
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