Deepika Shetty

Fund Guidelines Monitoring and Oversight

• Ensure compliance with prospectus guidelines and regulatory standards
• Manage oversight processes for intermediaries to ensure compliance with regulatory requirements and company policies
• Collaborate closely with intermediaries to investigate and resolve issues in timely manner, ensuring alignment with regulatory policies
• Conduct thorough research and analysis of transactions to identify and mitigate risks associated with frequent trading activities
• Oversee preparation and submission of blue sky filings across multiple jurisdictions
• Ensure timely and accurate filings to comply with state-specific regulatory requirements
• Implemented automation solutions using Alteryx to streamline and enhance efficiency of manual processes

• Migrated Luxembourg based process for Transfer Agency Oversight activities, starting with a team of 3, scaling up to 6 team members
• Governing Reconciliations, Overdrawn Balance Justifications, Exceptions Reporting and Dealing Activities
• Oversight of daily Cashflow Trade files, Analysis of Errors, Breaches & Complaints, Vendor Invoicing & Budgeting
• Led various process transformations, gaining efficiencies leveraging Automation tools such as in-house tools, Xceptor, Bots etc, creating a save of ~0.5FTE
• Collaborated with Client Services of Various Regions, Transfer Agents and various teams for Resolution of queries
• Underwent and successfully completed Digital Accelerator Green Belt Program, gaining application knowledge of Xceptor, Alteryx, Tableau etc
• Responsible for Risk & Compliance, KPI, performance appraisals within the team.
• Led team meetings regularly to discuss progress updates, identify challenges or roadblocks, and provide guidance towards successful project completion.

• Reconciliations & Client Money: Managed Reconciliations Team of 120, coached 3 Deputy Managers, responsible for Client Money Reporting & Controls
• Awarded LEAN-Silver Certification for successfully completing 4 Lean Projects in the team
• Coached Managers and Team-leaders, setting goals, matrix and expectations, Responsible for managing Due Diligence visits conducted by Asset Management Companies for overall Syntel Operations
• Led various lean and process improvement projects within the team aggregating save of ~2.5FTE
• Was instrumental in understanding the changes in Client Money Rules & Regulations and implement CASS rules
• Handled high level escalations and weekly exceptions reporting with UK Senior Management
• Cash Management & Payments: Responsible for handling cash management teams processing online payments & ledger entries
• Authorisation on client payments & custody payments and transfers
• Migrated Client Money Process to India
• Responsible for Treasury Reporting and related payments.

• Accounting of client accounts and clearing account Reconciliations of all bank account
• Carrying out online payments to clients and inter account transfers
• Coordinating and uploading files at bank for pay order and pay cheques printing at various locations
• Carrying out RTGS, high value payments and printing cheques.

• Writing books of accounts
• Preparing Balance sheets of school, colleges and trusts Auditing books of accounts
• Preparing bank reconciliations statements
• Filing of individual returns.