SHEETAL PUTHRAN

• Managed financial products including loans/credit, foreign exchange, and Western Union transactions.
• Conducted risk assessment by evaluating financial profiles for new customer onboarding for payday and Installment loans.
• Detected and prevented a fraudulent loan attempt, saving the branch CAD 15,000 within a month of training.
• Ensured compliance with AML regulations through due diligence, KYC procedures, and monitoring/reporting of suspicious transactions (UTR/STR).
• Managed Large Cash Transactions (LCTR) and assisted in internal and external audits.
• Stayed up to date with policy and procedure changes, ensuring full compliance in daily operations.
• Managed multiple accounts simultaneously while ensuring compliance with all relevant regulatory laws.

Promoted as Team Lead in Jan 2022

• Led a 15-member team conducting secondary people management research spread across Private Equity, Venture Capital, Service Providers, and M&A.
• Managed project assignments, and consistently collaborated with offshore stakeholders, providing weekly and monthly team performance and production updates.
• Served as the primary point of contact for internal/external clients.
• Utilized Power BI reports to systematically track and enhance team production and quality metrics.
• Organized training sessions to address performance gaps and enhance efficiency.
• Motivated team members through recognition programs and performance-based incentives.

• Conducted data quality review on researchers' work and promptly addressed high-priority client requests.
• Monitored progress of ongoing projects, ensuring adhrence to agreed timelines.
• Assisted the researchers in solving their daily queries/doubts
• Led onboarding, training, and mentoring of new hires.

• Monitored Broker/Dealer staff’s FINRA License Registrations and Terminations.
• Maintained a clear understanding of the rules and regulations of the regulatory agency (FINRA) to ensure the employees/staff acted accordingly and in compliance.
• Assisted in transitioning processes from the New York office to the Mumbai office.
• Liaised with the legal, compliance, and business teams for regulatory processes.
• Conducted research on compliance policy exceptions and investigated any suspicious/activity policy breaches.
• Advised termination of licenses that are no longer in use for employee's functional duties.
• Oversight of filing, maintaining, and updating regulatory registration forms (U4 and U5).
• Facilitated compliance training programs.

Promoted as Senior Analyst in April 2016

• Worked as per FINRA and SEC rules and ensured error-free processing of Late Trade Reports.
• Served as a primary point of contact for the U.S. based clients.
• As per the client's requirement, enhanced, modified, and communicated any process changes to the team.
• Conducted quality assurance checks and implemented process improvements.
• Developed and refined Standard Operating Procedures (SOPs) and process flow charts.

• Managed and resolved cargo insurance claims.
• Addressed policyholder and insurer inquiries and coordinated with surveyors for field inspections.