Love Soni
NAV Fund Services
2
years of professional experience
Experienced Investor Compliance Analyst specializing in AML/KYC compliance and regulatory due diligence. Expertise in CDD, EDD, FATCA, CRS, and transaction processing, including subscriptions and redemptions. Utilizes tools like Refinitiv World-Check and LexisNexis to ensure regulatory compliance and operational accuracy.
Work History
Executive
2 Years- Performed Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) for institutional and individual investors in accordance with AML/KYC regulations.
- Reviewed complex ownership structures and verified Ultimate Beneficial Owners (UBOs).
- Reviewed and validated FATCA and CRS self-certification forms to ensure compliance with global tax reporting regulations. (e.g., W-8, W-9, self-certification forms).
- Processed investor transactions including subscriptions, redemptions, transfers, and additional investments in accordance with fund procedures and client instructions.
- Communicated with clients to obtain KYC documentation, resolve onboarding queries, and ensure timely completion of compliance requirements.
- Performed sanctions, PEP, and adverse media screening using World-Check, LexisNexis and other screening tools.
- Performed periodic KYC reviews and remediation of investor records to maintain regulatory compliance.
- Worked closely with fund managers, transfer agents, and compliance teams to facilitate seamless investor onboarding.
- Applied a risk-based approach to investor due diligence in line with AML/CFT regulatory requirements.
- Contributed to process improvements that enhanced onboarding efficiency and reduced turnaround time.
Education
MBA - Financial Analysis, Financial Reporting
Bachelor of Commerce - Accounting And Finance
- Captain of Table Tennis Team, 2022 to 2023
Skills
AML/KYC Compliance
CDD
EDD
FATCA & CRS
UBO & Ownership Structure Analysis
PEP
Sanctions & Adverse Media Screening
Investor Onboarding
Subscription
Redemption & Transfer Processing
Refinitiv World-Check
LexisNexis
Risk Assessment
Regulatory Compliance
Client Communication
SDD
Timeline
Executive
NAV Fund Services
08.2024 - CurrentRead More
Narsee Monjee Institute of Management Studies (NMIMS)
MBA from Financial Analysis, Financial Reporting
Read More
Seth Mathuradas Binani College
Bachelor of Commerce from Accounting And Finance
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