• Expertise in Quality Checks of Audit Remarks• Developed and implemented tailored questionnaires to assess client compliance needs, resulting in enhanced understanding and improved compliance strategies.• Demonstrated proficiency in Document Verification for audits encompassing various Regulatory Laws.• Successfully managed a diverse portfolio of clients, fostering strong relationships through clear communication and a client-centric approach.• Preparation of Audit Report for the audits conducted at Maharashtra, Hyderabad and Tamil Nadu.

• Utilized expertise to deliver high-quality client services to internal and external clients, handling daily tasks such as problem resolution, transaction processing, trade settlements, document verifications, and monitoring trades and reconciliations for diverse accounts including companies, LLPs, and trusts.• Conducting CDD on timely basis and performing screening process for high risk accounts.• Conducting independent analysis, policy interpretation and manual processing of Trades within the timeframe accordingly to the given SLA.• Responsible for reconciliations including gap analysis, cash breaks, position differences, gathering and compiling data.• Assisting the internal and external auditor with the required information pertaining to KYC details of the clients, trades settlements and documentations.• Ensured regulatory compliance and minimized risk exposure by maintaining accurate account records and valid documentation in alignment with policies and regulations.• Identifying, investigating and resolving problems in client accounts and in company records

• Utilized expertise to deliver high-quality client services to internal and external clients, handling daily tasks such as problem resolution, transaction processing, trade settlements, document verifications, and monitoring trades and reconciliations for diverse accounts including companies, LLPs, and trusts.• Conducting CDD on timely basis and performing screening process for high risk accounts.• Conducting independent analysis, policy interpretation and manual processing of Trades within the timeframe accordingly to the given SLA.• Responsible for reconciliations including gap analysis, cash breaks, position differences, gathering and compiling data.• Assisting the internal and external auditor with the required information pertaining to KYC details of the clients, trades settlements and documentations.• Ensured regulatory compliance and minimized risk exposure by maintaining accurate account records and valid documentation in alignment with policies and regulations.• Identifying, investigating and resolving problems in client accounts and in company records

• Worked as an Associate in the Secretarial Department and handled various secretarial assignments;• Implementation of the Compliance Tool for various types of Companies such as Private Limited, Public Listed as well as Unlisted Companies;• Worked on the Legatrix Compliance tool and performed System audit and prepared reports on the same;• Resolving the Client Queries pertaining to the Compliance applicable;• Annual Filing and XBRL Filing;• Research & preparation of notes on various Secretarial compliances;• Preparation of Manuals for various Legislations under SEBI, FEMA and Company Law