Gagan Palta Email & Phone Number

Delhi, India

Gurugram, Haryana, India

Gurgaon, India

Providing expert and strategic legal advice to the leadership, setting internal governance policies, anticipating issues, and estimating & mitigating risks strategically while adopting a decision-making process based on ethics and integrity. Focused on creating associations of trust and respect with key stakeholders. Compliance Officer- actively fostering a culture of compliance within the organization, driving strategy to mitigate business compliance risks. Leading change with proven ability to form strong stakeholder relationships across functional verticals. Owner of a broad spectrum of responsibilities, including legal advisory, risk mitigation, legal solutions, contract management and negotiations, ethical compliance and regulatory compliance, government investigations, oversight of litigation (civil and criminal), and dispute management, Corporate Social Responsibility (CSR) and sustainability for the business.Legal Advisory: Resolved a plant closure crisis ordered by NGT, securing resumption of plant operations within 3 days, with zero impact on business and preserving business reputation. Key contributor to CNH restructuring in 2022 involving segregating on-highway and off-highway businesses. Ensured swift business transfer with all necessary approvals and achieved zero employee loss with 100% continuity. Instrumental in setting of green-field manufacturing plant under Incentives under Package Scheme of Incentive (PSI) of Maharashtra.Compliance Culture: Established a robust compliance culture through local frameworks, training, whistleblowing mechanisms, and proactive controls. Conducted investigations, reported violations, and provided recommendations to manage risks effectively.Leadership and Team Development: Developed India as a best-cost location for the legal function and led the Contracts Shared Service CoE based in Delhi. Coached and mentored the legal team for critical thinking, contributing to successful career development.

Noida Area, India

Played a pivotal role in the smooth acquisition and transition of these businesses by GE in 2014 within the 14-member taskforce entrusted with framing and implementing the compliance framework worldwide.Global M&A Leadership: Spearheaded Ethics and Compliance efforts for GE's acquisition of Alstom's power business, securing approvals from competition and regulatory bodies. Collaborated with Alstom India CEO to drive business growth, ensuring compliance and minimizing risks. Achieved seamless alignment of tools and teams for 5000 employees within a year.Integration: Led Ethics and Compliance integration in India & South Asia for the Alstom-Areva T&D acquisition.

Noida Area, India

Joined Alstom as first Chief Compliance Officer for India and South Asia Power, Transmission & Distribution and Transport businessPath-breaking Compliance Program & World Bank Debarment Reversal (removal of sanctions): Led the design, implementation, and maintenance of a comprehensive compliance program for 5000+ employees in India, incl. targeted exposed population HQ in Paris/Switzerland. Led reviews & crafted adequacy reports, ensuring preventive protection amidst dynamic international compliance challenges, resulting in a successful DOJ settlement Recognized by Global General Counsel and India President. Acknowledged a special mention of the World Bank report for efforts in implementing compliance program. Helped ensure Alstom's removal from debarment status (removal of sanctions)Investigations Leadership: Managing 100+ internal investigations/ concerns from FCPA, Anti-trust & Competition Controllership, Fraud, Managing Conflicts, Fair employment, Theft, #metoo or sexual harassment (POSH) investigations & attempting to uncover acts of wrongdoingEthics & Compliance Program Lead: Led Ethics and Compliance program & practices to ensure effective & embedded compliance programs thus ensuring compliance for complex deals in high-risk regions with state-owned & private customerso Collaborated with senior executives globally to establish & promote a comprehensive compliance programo Implemented early warning system methodologies, global whistle-blower process. and engaged leadership on compliance, developed effective communicationso Built a team of E&C Ambassadors to foster an open reporting culture People Leadership, Training and Culture Building: Boosted employee confidence with targeted training modules (Code of Conduct, Open Reporting and No-Retaliation, FCPA, Anti-Corruption, Fair Employment, Data Protection) Implemented proactive operating rhythm based on stakeholder feedback, demonstrated successful leadership influence.

India

Legal & Compliance Lead for 2 India CoEs viz. Global Finance & Accounting CoE and India-2-India CoE with a footprint of 25,000 employees across 8 delivery centres. Provided legal support to GE-Genpact Program Office for (5+2) year MSA Volume commitment agreement. Implemented a comprehensive compliance and enterprise risk management program.Responsible for all contract-related matters, including vetting and drafting Agreements, Outsourcing Services Agreements, Master Services Agreements, and Sub-Contracting Agreements. Actively involved in providing legal, ethics, compliance and risk mitigation advice including structuring of commercial deals, litigation, investigations, contract management, corporate affairs and governance, privacy, intellectual property and regulatory matters; advising HR, I&L, sourcing and procurement, employee relations, compensation & benefits, whistleblower complaints, press & media.Conducts contract review, negotiation, execution and management processes (e.g. for IS, joint ventures, including: negotiating and drafting contracts; creating, implementing, training on, and auditing of compliance with contract-related company policies; Provides legal support with respect to the company's implementation of corporate initiatives, including: conducting legal research and drafting memorandums on compliance and regulatory issues; advising senior management on laws and regulations; and managing implementation by business units of required compliance initiativesProvides legal support to and works closely with human resources on labor and employment matters, including compliance with employment laws, performance management, employee disputes and litigation (e.g., harassment and discrimination), assessing risk at termination, severance agreements, updates to employment policies, recruiting and hiring, employee confidentiality agreements, employment-related support to merger and acquisition projects

Held key management position and successfully managed corporate legal and governance function, including management of board & general shareholder meetings, public issue & listing of debt securities, corporate governance, compliance, SOX controls and internal audit issues Advise on various aspects of corporate laws (Lending & Borrowing Agreements, Recovery servicing agreements, sales of loan portfolio, insurance, IT, contract, labour & employment, shop & establishment, competition, real estate, indirect tax); Assist Citi India in M&A transactions in acquisition of NBFC's and setting up of downstream subsidiaries under FDI (FIPB) approval route.Participated and provided legal advise on new business initiatives launch of co-branded credit cards, cross sales, subvention schemes, insurance agencies and housing finance companyLead Citi GCG Business Unit Compliance Office for legal, regulatory, finance and tax and instrumental in developing and driving efficient and sustainable regulatory/internal compliance processes with risk mitigation strategiesInstrumental in formulating Sarbanes–Oxley process controls maps, control testing & reporting and SOX audits. Supervise performance of targeted testing to ensure compliance with all internal and external rules and regulations. Conduct root cause analysis on issues discovered during compliance testing.

Represented GE on Due diligence of Statutory & Legal records related to GE divestiture of Motors & Controls businessWorked on Contract negotiations with the other party counsels (includes Services agreement, RFP, RFQ, PO terms, SOW, Bank Guarantees, Non-disclosure, Non-solicitation, Maintenance and consultancy agreements).Developed & administered contracts, third party agreements, contract interpretation & consequences of action/inactionAdvised internal teams as part of “preventive/proactive lawyering” on GE Integrity program and regulatory compliance

Bachelor Of Laws - Llb, Banking, Corporate, Finance, And Securities Law, 2

Fcs, Corporate Laws

Activities and Societies: Corporate Laws, Constitution Law, Taxation, Costing, Criminal Law, Law of Contracts, Accountancy

Bachelor Of Commerce (Honors), Commerce, Accounting, Corporate Laws And Taxation

Aissce - Science Stream

Education record

Education record