Ariesha Kalia
Parramatta,NSW
Summary
Experienced legal professional with a demonstrated track record in compliance and risk management within the Australian financial services sector. Skilled in maintaining legal document templates and implementing robust policies to mitigate risks. Proven ability to liaise effectively with stakeholders and provide expert guidance on regulatory matters. Adept at delivering training, resolving complex issues, and representing organizations as a subject matter expert. Dedicated to contributing to organizational success through expertise, collaboration, and a client-centric approach..
Overview
10
10
years of professional experience
Work History
Senior legal Compliance Consultant
HUB 24 Limited (Class Limited)
07.2022 - Current
- Assist with maintaining compliance of our legal document templates, interview forms and associated functionality across the NowInfinity platform
- Identify, evaluate & assess risk thorough risk assessments to pinpoint areas of potential vulnerability, followed by the design and implementation of robust policies, procedures, and controls aimed at mitigating identified risks on the platform.
- Designed risk assessment frameworks to evaluate platforms vulnerabilities and prioritize areas requiring attention.
- Liaise with relevant specialists and stakeholders to maintain compliance of our legal and non-legal document templates and functionality across the NowInfinity platform including planning for upcoming product releases
- Evaluated new regulations for potential impact on the platform, taking proactive measures to ensure readiness for implementation.
- Assist with the review, testing and sign-off of items for NowInfinity product releases, collaborating with our Legal Service Provider in line with defined processes
- Represent Technical Compliance as a key stakeholder in related projects and enhancements from inception and prioritisation through to implementation
- Collaborate with internal and external stakeholders to deliver clear technical compliance requirements for document templates and interview forms – ensuring requirements accurately represent the changes specified by our Legal Service Provider and are understood by internal parties (e.g
- Product, Business Analysts)
- Manage the NowInfinity legal triage process with internal stakeholders, including provision of legal review to team members and technical guidance direct to customers
- Act as an escalation point for customers using NowInfinity products and provide support in relation to technical and legal queries; and ensure service level expectations are achieved and/or exceeded, with our customers being the priority
- Support the development and delivery of internal /external training & webinar plus the induction process/training for new team members
- Developed comprehensive training programs to increase employee awareness of compliance requirements and expectations.
- Represent NowInfinity as a subject matter expert as required from time to time at company or industry events and presentations
- Assist with any regular management reporting and any client & partner communication.
Technical Compliance Analyst
Class Limited
02.2021 - 06.2022
- Responsible for providing day to day technical compliance for ASIC queries and issues for customers, ensuring that expected service levels are achieved
- Liase with extrenal legal providers for guidance and assistence of tailored docuementation
- Respond to and follow up support enquiries via phone, email and other channels
- Act as escalation and subject matter expert for ASIC compliance on the NowInfinity system
- Assist with the analysis, requirements specification and testing of new features of the NowInfinity application(software that provides documentataion for establishment of companies, trusts, agreements& superfunds )
- Develop help documentation and training material that instructs users on the functions and usage of the NowInfinity products
- Liaise with other senior support staff and Development to resolve unusual and complex support requests, escalating issues to the Team Leader and Service Support Manager
- Assist with the development of training courses and training material for delivery to users and internal staff
- Use Confluence and other tools to develop the help documentation for new and existing features and/or practices required to user the NowInfinity application and related tools
- Help with the release process and smoke-testing
- Assist with weekly and monthly management reporting
- Manage client and partner communication when necessary e.g
- Outages, upcoming releases.
Compliance Officer
Reckon Pty Ltd
02.2017 - 02.2021
- Reviewing and completion of Annual Company Statements sent by ASIC on behalf of clients
- Preparation of forms to update ASIC Company records on behalf of clients where required
- Preparation of forms allowing for the deregistration of companies, including all related minutes and notices
- Preparation of an array of legal documents including share transfers, allotments, redemption, share buy-backs, retiring and appointing of officeholders and members of companies
- Company Name reservations
- Liaised with government departments and regulatory bodies(including ASIC and the Offices of State Revenue), on behalf of clients, to obtain historical data on companies, people and land titles
- Preparation of company constitution upgrades, share agreements and partnership agreements
- Provided support to clients using Reckon Docs Desktop for company compliance updates with ASIC
- Provide support and assistance to clients both over the phone and via email
- Helped develop strong relationships with our customers by demonstrating how we can add value to their business
- Create and maintain information using CAS and Reckon databases
- Assist and support fellow colleagues as and when required
- Ensure that clients orders are completed on-time and to daily cut-offs
- Answering over-the-phone and email queries from clients, mostly of a technical nature
- Liaising with the company’s legal providers regarding client’s orders, wherever required.
Advocate
High Court Of Punjab & Haryana
08.2015 - 08.2016
- Drafted the arguing motions in matter involving divorce, alimony, child custody, domestic violence and property division upon divorce
- Resolving matrimonial disputes via ADR method (Alternative Dispute resolution) such as negotiations, arbitration, mediation, conciliation
- Drafting and filing complaints on behalf of victim to the protection officers
- Presenting evidence and examining witnesses, arguing on facts and law in the above-mentioned cases
- Conduct research properly advise clients, develops litigation strategies, gathers evidence to support claims, prepares legal documents and represents clients in court, domestic violence tribunal
- Advise clients regarding ongoing litigation or to explain legal issues they might be facing or have concerns about
- Closely worked and assisted partners on the matters on appeal to High Court and the Supreme Court.
Legal Researcher
Hon'ble Justice Shekher Dhawan (Judge at High court of Punjab And Haryana)
04.2015 - 08.2015
- Prepared detailed analysis of case law and an examination of legal developments in areas where precedents are not well defined
- To prepare summary of fresh and regular admission matter
- Sitting in the court during hearings and noting down all the arguments
- Carrying out research work for the Hon'ble judge in preparation of the draft judgments
- To maintain record of the judgments chronologically along with the point of law decided
- Assisted Hon'ble judge in preparing speeches and academic papers
- To search out case law, articles, papers and other relevant material required in discharge of judicial/administrative work.
Legal Researcher
Hon'ble Justice M.S.Sullar (Judge at High court of Punjab And Haryana)
08.2014 - 03.2015
- Please refer to the above noted responsibilities.
Advocate
High Court Of Punjab & Haryana
08.2013 - 07.2014
- Managing & Monitoring Litigation
- Preparing & Pleading Legal matters: Criminal cases, property conveyance, custody cases, divorce settlements, writ petitions
- Drafting wills, reviewing and negotiation of contracts, such as sale and purchase deeds, tenancies
- Research on case laws as supportive evidence on above-mentioned legal matters
- Various issues related to Arbitration Laws, Mergers & Amalgamations
- Drafting notices, pleadings and official correspondences.
Education
Diploma in Law - LAW
University of Sydney
Sydney, NSW04.2024
Skills
- Legal & Regulatory Compliance
- Corporate & Legal Compliance (ASIC, ATO)
- Assessment, Analysing and Treating Risk
- Legislative Research & Analysis
- Business Continuity & Crisis Management
- Risk Management Framework
- Stakeholder management
- Information gathering and analysis
- Employee Training
- Attention to Detail
- Critical Thinking
- Tools : JIRA, Confluence, Microsoft 365, Zendesk
Accomplishments
- Won the Award of BEST TEAM in 4th semester for excellence in UILS intra moot court competition- 2010 (LEVEL II).
- Performed the role of a Witness in Surana & Surana National Trail Advocacy Moot Court Competition- 2011 organised at University Institute Legal Studies.
- Participated and presented a research paper on “Criminalisation of politics in India” in the Regional Consultation on Electoral Reforms 2011 organised by Ministry of Law and Justice, Government of India and Election Commission of India.
- Participated in four day conference on Human Rights & Law from 06/24/09 to 06/27/09 organised by Human Rights Law Network, Chandigarh.
- Participated in Model United Nations in which represented & highlighted Saudi Arabia’s complex patriarchal domination and position of women in the country.
- Participated in organizing National Client Counseling Competition 2012 held on 02/03/12 - 02/04/12 at UILS, Panjab University, Chandigarh.
- Presented paper on “Euthanasia- growing dimension and legalization” on 1st LAW FEST, PANJAB UNIVERSITY-2013 Organised by DEPARTMENT OF LAWS and UNIVERSITY INSTITUTE OF LEGAL STUDIES.
- Organised and participated in Cultural Presentation in Conference organised by “Debt Recovery Tribunal Bar Association” at Law Bhawan.
- Participated in Quiz Competition in 2nd CHANDIGARH SOCIAL SCIENCE CONGRESS- 2010 organised PANJAB UNIVERSITY.
Legal Internships
- Punjab State Human Right Commission: Handled cases such as honour killing, bridge burning issues, crimes against women and child abuse. Worked & presented project reports on Child labour and child prostitution.
- Adv Lakhinder Bir Singh (Ex. Additional Advocate General,Punjab): Discussed and assisted in dealing with the state cases, criminal and civil matters. Closely observed the High Court’s proceedings. Researched case laws for Senior associates.
Certifications Courses
- Certificate in Governance and Risk Management (Governance Institute of Australia)
- Critical Thinking & Problem Solving (Australian Institute of Management)
- Effective Communication (Australian Institute of Management)
- Time Management (Australian Institute of Management)
References
- Gavin Leung Shing, Technical Compliance Manager, Class Limited, Level 20 580 George Street, Sydney, NSW, 2000, 0414912230, Gavin.leung@class.com.au
- Alex Sandoval, Consulting Team Leader, Class Limited, Level 20 580 George Street, Sydney, NSW, 2000, 0423744514, Alex.sandoval@class.com.au
Timeline
Senior legal Compliance Consultant
HUB 24 Limited (Class Limited)
07.2022 - Current
Technical Compliance Analyst
Class Limited
02.2021 - 06.2022
Compliance Officer
Reckon Pty Ltd
02.2017 - 02.2021
Advocate
High Court Of Punjab & Haryana
08.2015 - 08.2016
Legal Researcher
Hon'ble Justice Shekher Dhawan (Judge at High court of Punjab And Haryana)
04.2015 - 08.2015
Legal Researcher
Hon'ble Justice M.S.Sullar (Judge at High court of Punjab And Haryana)
08.2014 - 03.2015
Advocate
High Court Of Punjab & Haryana
08.2013 - 07.2014
Diploma in Law - LAW
University of Sydney
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