Aarti Advani
Summary
Private Equity Associate with expertise in investor onboarding, compliance (KYC/AML, FATCA/CRS), and fund management. Skilled in managing multiple funds, maintaining accurate records, and ensuring seamless regulatory adherence.
Overview
5
5
years of professional experience
Work History
Associate
Apex Group Ltd
04.2023 - Current
- Private Equity Associate
- Onboard new investors, ensuring compliance with internal procedures and regulatory requirements.
- Verify details provided in subscription documents for accuracy and completeness.
- Conduct KYC checks and AML screening for all required documents following AML procedures.
- Clear AML screening alerts by thoroughly investigating and resolving flagged issues.
- Verify and validate banking details for accuracy and compliance.
- Review and ensure Tax forms are completed correctly.
- Certify documents according to established procedures.
- Collect and review all necessary corporate documents for entity onboarding.
- Update investor records in Excel post-onboarding.
- Communicate with fund managers or investors to resolve missing document issues.
- Create and manage accounts for investors in the portal, where all releases are tracked.
- Manage investor categories, including SDD, individuals, entities, joint accounts, partnerships, and LLCs.
- Work across multiple funds, handling capital calls, confirmation letters, fund announcements, capital statements, financial statements, tax reports, and annual fund documents.
- Collaborate on various projects to improve processes and data management.
- Created Excel spreadsheets for all investor data, ensuring all required information was accurately entered.
- Uploaded Excel files into Metrosoft application, generating AML hits.
- Cleared hits using AML guidelines and resources such as documents, Google search, and World Check.
- Prepared IRA checklist for all previously onboarded investors.
- Prioritized high-risk investors and Politically Exposed Persons (PEPs).
Completed detailed checklists, filling out all necessary columns.
Conducted in-depth investigations using Google, World-Check, and available documents. - Verified all gathered information.
Coordinated with the AML team for approval. - Requested additional documents from investors, including the Source of Funds and Wealth Declaration Form.
Associate- Dealing| Transfer Agency| Mutual funds
State street Syntel services Pvt ltd
12.2020 - 12.2021
- Migrated project 'JP Morgan Gateway Dealing' from UK client to India team (Luxembourg)
- Develop and maintain in-depth knowledge of JPM process and system
- Trade operation in international mutual funds for various management companies situated in Luxembourg
- Faxing the contract notes and monthly statements to clients or brokers
- Monitors queue for incoming trade requests like Subscriptions, Redemptions, Transfers and Switch orders
- Coordinates with Counterparts in case of discrepancies in trade tickets
- Do Fund Set up of New Funds and if any changes happen to particular Spot funds
- Doing Quality checking of High Value Deals
- Putting NAV in the character base and verifying the same which reflects in Clients particular account
- Providing process training to team members and helped create backups for each resource within the team
- Settling all Subscription, Redemption & Switches in the system at value date
- Manage daily production to ensure the timely delivery of deadlines
- Monitor key tasks closely and ensure that they are performed on time
- Taking escalation ahead for resolving critical issues and ensuring Delivery & Continuity of Business.
Officer - Reconciliation | Transfer Agency| Mutual funds
State street Syntel services Pvt ltd
12.2019 - 12.2020
- Process of transactions for investors which includes Redemption, Subscription, Switch & transfers in Different management companies
- Reporting of activities in management companies
- Identifying the details of ledger along with the statements by referring the AML (Anti money laundering)
- Verifying of swift payments for trades
- Provide training and guidance to new joiners in team
- Interaction with oversight team for queries.
Education
MCOM (Finance) -
Mumbai University
01.2021
BFM (Bachelor's in financial markets) -
2019
Skills
- Team Player
- Communication Skills
- Leadership Skills
- Team Management
Tools on experience
- Investor portal
- Efront
- Metrosoft
- AWD
- IFAST
- Ifast Character base
- Frontier
- DVD
Languages
- English
- Hindi
- Sindhi
Awards
- Spot recognition- Appreciate for Quality Work
- Recognition- Appreciation for extra work done
- Champ of the week
Timeline
Associate
Apex Group Ltd
04.2023 - Current
Associate- Dealing| Transfer Agency| Mutual funds
State street Syntel services Pvt ltd
12.2020 - 12.2021
Officer - Reconciliation | Transfer Agency| Mutual funds
State street Syntel services Pvt ltd
12.2019 - 12.2020
MCOM (Finance) -
Mumbai University
BFM (Bachelor's in financial markets) -
2019
Similar Profiles
Anudeep MedisettiAnudeep Medisetti
Senior Associate – Data Officer at Apex Group LtdSenior Associate – Data Officer at Apex Group Ltd
Zornitsa KakevskaZornitsa Kakevska
Team Lead Depositary Officer at Apex Group LTDTeam Lead Depositary Officer at Apex Group LTD
Ivan NikovIvan Nikov
Development Team Lead at Apex Group LtdDevelopment Team Lead at Apex Group Ltd
Ntsasa ThintaNtsasa Thinta
Fund Accountant, Alternative Assets Services at Apex Group LtdFund Accountant, Alternative Assets Services at Apex Group Ltd
PIYUSH RANJAN DASPIYUSH RANJAN DAS
Associate at BNY IndiaAssociate at BNY India