Roopal Shah

Results-oriented Senior Compliance Analyst with a strong track record in corporate structure analysis, risk management, and regulatory compliance. Adept at implementing practical compliance frameworks, improving operational efficiency, and managing multiple high-priority tasks with precision and accountability. Known for a proactive approach, analytical mindset, and collaborative working style.

Senior Compliance Analyst at KPMG LLP (2021-08 – Present)

In my most recent role, I managed end-to-end compliance for over 300 partnership investments, maintaining a 99.9% accuracy rate across complex quarterly data reconciliations. Oversaw data verification for direct-entry partner audits, successfully mitigated conflict risks, and consistently met strict quality timelines.

• Investment Pre-Clearance: Conducted first reviews and accurately cleared potential investments for the firm, partners, and employees to ensure full regulatory and policy compliance.
• Partner Relationship Support: Provided specialist compliance guidance to partners, executives, and family members regarding personal investments and independence rules.
• Independence Monitoring: Tracked audit and independence compliance for retired partners and directors using external verification platforms.
• Data & Systems Management: Maintained the KICS system, ensuring mutual fund data and new audit relationships were accurately reflected to prevent regulatory breaches.
• Pension & Portfolio Audits: Partnered with external portfolio and pension providers, executing monthly, quarterly, and annual compliance reconciliations.
• Process Escalation: Resolved standard helpdesk queries from client-facing professionals and managed the escalation of high-level compliance risks.

Business Support Administrator at BRE Group (2019-03 – 2020-06)

Coordinated administrative functions in a fast-paced environment, ensuring seamless operations for 25 personnel under tight deadlines.

• Project Administration: Set up new client projects on the internal system, handled project status changes, processed quotes, and managed project closures.
• Database Management: Maintained up-to-date project records on the central database (Progress Sheet) and corporate info portal (Microsoft SharePoint).
• Reporting: Compiled, analysed, and distributed comprehensive weekly progress sheets to senior management.
• Financial Support: Prepared professional quotations for client approval and processed travel and purchasing requisitions for office and laboratory consumables.
• Client Relations: Responded to all incoming enquiries via phone, email, and in-person, routing calls accurately across the wider team.
• Event Coordination: Provided end-to-end admin support for corporate meetings and events, managing attendee availability and catering logistics.
• HR Administration: Processed staff onboarding (starters) and offboarding (leavers) requests while monitoring holiday and absence records against company policy.
• Document Control: Composed, typed, formatted, and proofread technical specifications, corporate reports, and official correspondence.
• Key Achievements
• Process Improvement: Overhauled the company’s physical and electronic filing system, increasing overall office efficiency by 30%.
• Training Logistics: Seamlessly coordinated and scheduled 8+ staff training sessions, optimising employee availability to minimise operational downtime.
• Event Management: Successfully arranged and conducted 36+ high-level meetings and two major annual conference events.

HR Assistant at Byte Code Consulting Ltd (2015-01 – 2019-02)

Provided comprehensive HR administrative support within a fast-paced, 9-member team, reporting directly to the Managing Director.

• Managed candidate-centric recruitment processes to enhance applicant engagement and satisfaction.
• Identified and confirmed interview slots with hiring teams, accommodating all schedules.
• Verified candidate availability against interviewers’ calendars for informal conversations and interviews.
• Sent invitations following mutual confirmation of interview slots from all parties.
• Rescheduled or cancelled interviews promptly to minimise disruptions.
• Cultivated relationships with talent acquisition teams and executive assistants for effective coordination.
• Provided subject matter expertise in interview arrangements to support Recruitment and People Operations projects
• Handled redundancies with care, minimising workforce disruption.
• Facilitated onboarding for new hires by coordinating training initiatives and resolving issues.
• Managed leavers’ processes, including end-of-probation reviews and contract terminations.
• Key Achievements
• Successfully managed and executed a full office relocation single-handedly within a strict timeline.
• Assisted in the recruitment of 5 employees by scheduling interviews and coordinating subsequent induction and training workflows.

Planner Analyst at Xerox UK Limited (2005-10 – 2010-04)

Supported programme managers in delivering cross-functional initiatives by tracking budgets and timelines across a 45-member team.

• Maximised Programme Manager efficiency by proactively resolving administrative roadblocks and operational issues.
• Assisted in preparing meeting agendas, talking points, presentation materials, etc. in advance of meetings or events.
• Sought ways to ensure effective information management, including review of material, prioritisation, filing and retrieval.
• Managed financial and administrative tasks, including processing invoices and payments, proofreading professional documents, and printing or binding executive reports and presentations.
• Processed expense reports and whereabouts reports. Coordinated approval procedures and managed workflows for critical resource requests.
• Coordinated internal and external meetings, including the setup of teleconference and video calls.
• Created & processed purchase orders; chased orders from suppliers and ensured delivery of goods on time and on budget.
• Coordinated and liaised with various departments within the company to prepare and distribute various Submissions and Reports.
• Managed and maintained supplier data.
• Carried out regular administrative duties for the print room.
• Examples of types of projects include:
• Development of new product
• Enhancement to existing product
• Key Achievements
• I was awarded a Performance Certificate as a token of gratitude from the Senior Management of Xerox for the successful completion of the project in a stipulated time frame.
• Coordinated, arranged and conducted 2 Board meetings and 40-plus general meetings annually.

Production Assistant (Programming Department) at Systemation Euro Ltd (2005-04 – 2005-07)

Collaborated within an 8-person team, reporting directly to the Team Leader to ensure consistent service delivery.

• Managed a portfolio of 20 customer arrears with a team of eight, ensuring efficient resolution.
• Inspected the quality of electrostatic-sensitive devices according to ISO 9002 standards.
• Inspected and repaired damaged inventory, replacing components to restore items to sellable condition.
• Resolved customer queries and complaints promptly to achieve company targets.
• Ensured timely stock despatch and confirmed completed orders with accuracy.
• Handled customer orders while adhering to delivery schedules.
• Reported progress and challenges regularly to the Team Leader.

Master in Computer Applications – Saurashtra University, India (2004-05)

Bachelor in Commerce – Gujarat University - India (2000-04)