Sabyasachi Dasgupta

• Part of guidelines Multi asset solutions coding team, primary responsibility of Interpreting, Coding and Testing of rules and Investment Guidelines from client, Regulatory rules as well as PM specific rules.
• Lead extensive projects such as Coding standardization, conversion of coding schemas, Critical time to quality etc which has in turn created lot of efficiency.
• Gained good knowledge in sentinel coding and attributes.
• Approachable person for all coding related queries.
• Conducted many training sessions to new joiners to make them understand compliance process
• Identifying gaps , addressing and resolving coding and data flow related issues with sentinel tech team
• Developed a good understanding of Data flows from upstream to sentinel which makes easier to identify gaps and issues.

• Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to create a compliance rule matrix
• Liaising with clients to obtain additional information that may be necessary from time to time to code compliance matrix into the compliance system
• Performing annual review of compliance rules in the matrix by comparing them against updated prospectuses/SAIs
• Qualitative Compliance tests includes : Asset Allocation and issuer concentration, industry sector and security investment limits, Credit Quality, Duration and other risk characteristics, country and region exposures, industry regulations
• Researching ad-hoc queries to determine if client portfolio is in line with the investment guidelines
• Liaising with coding team for maintenance of rules in the system to ensure accurate daily and monthly compliance reporting is disseminated to clients
• Empower Clients with In-Depth analysis of fund manager's investment activities
• Translating client requirements into actionable items for internal teams and work with internal teams
• (For example, changes related to how a particular derivative should be treated for Derivative Coverage testing or CFTC Testing or IRC)
• Identifying and analysing operations risks related to current and potential business and recommends procedural changes as needed
• Ensuring timely resolution of issues while keeping management informed of any potential issues.

• Overseeing compliances of various departments like Compliance of Investment guidelines, Point of Sale department
• Etc
• Ensuring timely compliance in relation to the various forms filed under MCA, ROC, SEBI, RBI,IRDA
• Convening and conducting Board Meetings, Committee Meetings and General Meetings
• Assisting in Capital Call Management i.e ensuring various compliances are adhered to on issue of additional shares
• Maintaining Statutory Registers and Records both in Physical and Electronic Format
• Drafting of Board Minutes, General Meeting Minutes and other Committee meeting minutes
• Ensuring FEMA compliances are adhered to Setting the Standard of Practice for individual departments so that each department has set of practices and code of ethics which needs to be adhered
• Effectively solving queries of Shareholders and Senior Management Preparation of Board Report and Annual Report
• Lending support on a project which involved automation of Compliance Calendar
• Liasoning with various Regulatory Authority which includes Registrar of Companies, RBI and IRDAI
• Ensuring that all the compliances are adhered to Pre and Post launch of all products of Exide Life Insurance Co
• Ltd.

Performing various checks to determine the accuracy of Financial Statements and other reports provided by the client.
Worked on end to end audit of foreign private company where all the testing over each and every aspect of a Financial Statements were Performed by us.
Made judgement calls over discrepancies noted as a result of any testing which was then communicated to the engagement teams (PwC US).
Performing Test of Details of various contracts, sale, purchase and invoice (RevenueTesting, Credit Memo Testing, etc) using PwC methodologies.
Summarization of Statement on Standard for Attestation Engagements
(SSAE) Reports.
Performing tasks on various tools developed by PwC and work related to themsuch as Aura etc.
Performing testing over various FSLI's like cash,operating expenses,Revenue,Property Plant and Equipment.
Working on projects which required use of Alteryx Gaining efficiency over
performing work in Smart-tool