SOPHIA SWAMY

(CS, LLB, M.COM & PGDM)

Mob: +919022899329,
Email: sophia.swamy@gmail.com,
Skype ID: Sophia78645

QUALIFICATION:
OBJECTIVE:
July 2020:
Welingkar Institute Result-oriented and self-motivated Legal Professional cum Company Secretary with
PGDM(Finance) – 68% exposure into Secretarial, Legal, Compliance management in various sectors, looking for
an opportunity to utilize years of experience in the growth and strategic requirements of
June, 2013 an organization.
Jitendra Chauhan College of Law
L.L.B - 55% CAREER SKETCH:
• Experience of over 12 years in Legal, Secretarial and Compliance management
September, 2010 • Led and successfully closed due diligence for
ICSI – 52% - Private Equity investment by Foreign Investors in Welspun Project Companies.
- Sale of Renewable Energy Business of Welspun Renewable Group to Tata
March, 2010 Power Renewable Energy Limited, one of the largest solar power deal in India
Tolani College of Commerce in 2016.
M. Com (Management) – 56% - Takeover of Power Project Companies.
• Incorporation/Mergers/Demergers/Takeovers/Sale of Power Project Companies.
May, 2008 • Financial Closures for Power Project Companies.
Tolani College of Commerce • Drafting, vetting, finalising and negotiation on legal contracts.
B.Com (Finance & Tax) - 72.28% • Compliance Management
• Preparation and finalisation of Financial Statement and related work.
SKILLS:
• Independent WORK HISTORY:
• Self starter
• Collaborative ➢ Nobel Hygiene Private Limited
• Adaptable Company Secretary
• Decision Maker November’22-till date
• Problem Solving approach ➢ AMPA Orthodontics Private Limited
Company Secretary & Legal
TECHNICAL SKILLS: May’21 – Oct’22
• SAP
• Microsoft Office ➢ IPM India Wholesale Trading Private Limited (Group Company of
Philip Morris International)
HOBBIES: Company Secretary & Accountant
• Dance October’17- May’21
• Calligraphy ➢ Avaada Power Private Limited(Formerly known as Avaada
• Lettering Energy Private Limited)
• Cooking Manager – Company Secretary
• Reading May’11 to Oct’17
➢ Sanjay Doshi & Associates
Associate Company Secretary – September’10 to May’11
Apprenticeship Trainee – April’09 to September’10
EXPERIENCE:
Legal Work:
• Due Diligence for various purposes of business and accordingly providing report to
the management for an effective decision making for investment in Project
Companies.
• Negotiation on Vendor Contracts
• Handling of Consumer Cases via legal notices and Consumer Forum
• Drafting/vetting of the following Agreements/Deeds/documents:
• Share Purchase Agreements / Subscription Agreement/Investment Agreement/
Shareholders Agreements/Options Agreement.
• Share transfer Agreement/Agreement to Transfer shares/Novation Deed.
• Memorandum of Understanding.
• Power Purchase Agreements and all other Project related documents.
• Power of Attorney with respect to Funding and Bidding related matters.
 • Lease Agreements/Leave & License Agreement and renewal thereof.
PERSONAL INFORMATION: • Loan Agreement/Consortium Loan Agreement.
• Non-Disclosure Agreement/Confidentiality Agreement.
Date of Birth: January 11, 1986 • Deed of Hypothecation, Promoter Undertaking, Sponsor Undertaking, Common Loan
Agreement, Share Pledge Agreement.
Marital Status: Single • Services Agreement/Secondment Agreements.
• Co-ordinate with external advocates/professionals on various matters.
Languages Known: English, Hindi
• Respond to legal queries raised by the External Authority
& Marathi
Secretarial Work (including but not limited to the following):
Current Address: G-2, A-5, J.V.
• Formation and Incorporation of Companies (Private/Public)
Villa Co-op Hsg. Soc. Ltd. Beach
Complex, Dias & Pereira Nagar, • Convening of the Board/Committee and General meetings along with preparation
Naigaon- West, Thane- 401207 and maintenance of Agendas, Minutes and secretarial records and statutory
registers.
• Drafting and finalization of the Annual Report.
• E-forms filings within prescribed time including XBRL format.
• Shifting of the registered office state to state/city/outside city having same Registrar
• Conversion of Companies from Public to Private and vice versa under
theCompanies Act (hereinafter referred to as the ‘Act’).
• Merger/Demerger/Restructuring of the Group Companies including takeover and
saleof Companies.
• Drafting of the MOA & AOA and amendments to it.
• Various types of issuance/allotment of securities under the Act.
• Appointment/resignation and remuneration in accordance with the Act
• Inter-Company borrowings and investments in accordance with the Act
• Creation and registration of charges including satisfaction.
• CSR compliances and advising the Management for it.
• Filing of various petition with the CLB/NCLT under the Act.
• Financial closures for financing, refinancing, and down selling of loan facilities.
• Drafting of necessary policies under the Act.
• Compliance pertaining to Branch office established in India.
• Liaisoning with Government Authorities, Legal Firms, and other Professionals.
• ESOPs related activities

Compliance Management:
• Rolling out of the Compliance Tool in the organization
• Alignment the new Compliance Tool and training the users
• Updating the Management with the compliance reporting at regular intervals
• Regular Interval of Audits and reporting of any non-compliances and regulating it
• Identify issue areas and recommend solutions
• POSH Act related matters and activities

(Sophia Swamy)