Neeta Sanghavi

Head of Legal & Compliance, CLSA- India
Mumbai, Maharashtra, India

Professional Overview

Neeta Sanghavi is a seasoned legal and compliance professional with over 25 years of experience in the financial services industry. As the Head of Legal & Compliance at CLSA-India, she is responsible for providing strategic legal guidance, ensuring regulatory compliance, and managing the legal and risk mitigation aspects of the organization's operations in India.

Experience Summary

Current Role

Head of Legal & Compliance, CLSA-India (2021-Present)

• Oversees the legal and compliance function for CLSA's India operations, ensuring the organization's adherence to all relevant laws, regulations, and industry best practices.

• Provides strategic counsel to the leadership team on complex legal and regulatory matters, contributing to the company's growth and risk management strategies.

• Leads a team of legal and compliance professionals, fostering a culture of ethical conduct and continuous process improvement.

• Serves as a trusted advisor to the business, collaborating with cross-functional teams to identify and mitigate potential legal and compliance risks.

Career Progression

Head of Legal, Avendus (2017-2021)

• Managed the legal function and supported the firm's strategic initiatives, including merger and acquisition activities.

• Advised the executive team on complex legal and regulatory matters, ensuring the company's compliance with relevant laws and industry regulations.

• Played a pivotal role in strengthening the firm's legal and compliance framework, enhancing its overall risk management capabilities.

Director & Head of Legal-India, Credit Suisse (2014-2016)

• Headed the legal function for Credit Suisse's India operations, providing legal oversight and support for the bank's business activities.

• Collaborated with global and regional teams to ensure consistent application of legal and compliance standards across the organization.

• Actively engaged with regulatory authorities to stay abreast of emerging legislation and its impact on the firm's operations.

Earlier Roles
Prior to her current and previous roles, Neeta Sanghavi held various legal positions at reputable organizations, including UBS, Lehman Brothers, DSK Legal, Simmons & Simmons, and Crawford Bayley & Company. She has accumulated extensive experience in areas such as corporate transactions, regulatory compliance, and risk management.

Academic Background

Neeta Sanghavi holds a Bachelor of Laws (LL.B.) degree from the Government Law College, Mumbai, and a Master of Laws (LL.M.) degree from the University of Mumbai. She is a qualified solicitor and has been admitted to the Bar in India.

Areas of Expertise

• Financial services industry regulations and compliance

• Corporate transactions, including mergers, acquisitions, and joint ventures

• Risk management and mitigation strategies

• Policy development and implementation

• Team leadership and mentorship

Professional Impact

Throughout her career, Neeta Sanghavi has demonstrated a strong commitment to enhancing the legal and compliance frameworks of the organizations she has worked for. Her strategic insights and proactive approach have contributed to the successful navigation of complex regulatory landscapes and the mitigation of legal risks. Recognized for her expertise and leadership, Neeta has made valuable contributions to the financial services industry in India.

Conclusion

With her extensive experience, deep industry knowledge, and proven track record of success, Neeta Sanghavi is a highly respected legal and compliance professional. In her current role at CLSA-India, she continues to drive the organization's commitment to ethical and compliant business practices, while contributing to its overall growth and strategic positioning.