Sheetal Patil

Financial services professional with 9+ years of expertise in Corporate Actions, Investor Services, and Capital Market Operations. Strong background in stock market, mutual funds, and depository services, with proven ability to manage teams, handle regulatory compliance, and deliver seamless client service. Adept at working with SEBI, NSE, BSE, RTAs, and regulatory authorities, ensuring accuracy, compliance, and timely execution of corporate actions.

National Securities Depository Ltd. (NSDL), Mumbai

Assistant Manager – Issuer Services – Corporate Actions | Aug 2024 – Present

• Managing corporate actions such as Amalgamations, Demergers, IBC proceedings, and conversion of securities (preference/debentures/warrants into equity) for listed & unlisted companies.
• Acting as checker for activities like Private Placement, Rights Issue, and ESOP allotments.
• Coordinating with issuers, Company Secretaries, RTAs and Stock Exchanges for smooth processing of corporate actions.
• Ensuring regulatory compliance with SEBI, MCA, and depository norms while executing transactions.
• Reviewing and approving Scheme Documents, Corporate Action Notices, and Offer Documents.
• Preparing and presenting compliance reports for senior management and regulators.
• Leading a team of 3–4 members and ensuring accuracy in deliverables.
• Training and mentoring new joiners and junior staff on corporate action processes.
• Coordinating with internal teams (legal, compliance, operations, IT) for system changes and process automation.
• Driving process improvements to enhance efficiency, reduce TAT, and ensure client satisfaction.
• Handling high-value and sensitive transactions with accuracy, confidentiality, and accountability.
• Resolving queries/escalations from issuer, companies, SEBI, NSE, BSE, and other stakeholders.
• Actively participated in investor awareness programs to promote financial literacy and informed decision-making.

Assistant Manager – Corporate Registry (Investor Services & Client Coordination)| Apr 2021 – Aug 2024

• Managed financial and investor services by supporting Corporate Actions like ESOP, IEPF Claims, LOC Escrow accounts, Rights Issues, and Dividend processing.
• Delivered end-to-end investor services including Transmission of Shares, Duplicate Certificates, Name Changes, and grievance redressal.
• Handled investor complaints and disputes received from direct investors as well as through SEBI, NSE, BSE & social media etc by coordinating with relevant parties and ensuring timely resolution.
• Coordinated with Stock Exchanges (BSE & NSE) and regulatory authorities to ensure compliance and timely execution.
• Strengthened investor relations by ensuring seamless processing of transactions and corporate events.
• Performed dividend reconciliation (monthly/quarterly) as per client requirements, ensuring accuracy in financial reporting.
• Oversaw non-financial activities like event creation for AGM, Postal Ballot, bulk Email processing.
• Issued IEPF Entitlement Letters to the investor & releasing IEPF Verification report in coordination with company.
• Trained and mentored new joiners and junior staff, ensuring adherence to quality standards & TAT.
• Collaborated with companies & other operational teams to ensure smooth flow of work.
• Strengthened investor relations by ensuring seamless processing of transactions and corporate events.
• Tracked and maintained communication logs for Investor Grievance (IG) and Arbitration cases.
• Delivered weekly, monthly & quarterly reports to clients and management for transparency and audit compliance.

Religare Securities Ltd., Solapur

Operations Executive – Branch | Apr 2015 – Mar 2016

• Managed DeMat account operations, DP services, Pay-in/Pay-out requests, and grievance handling.
• Supervised a team across multiple branches and ensured compliance with regulatory norms.

Sr. Client Service Executive | May 2014 – Apr 2015

• Handled branch operations and client servicing for Mutual Funds, Insurance, Fixed Deposits.
• Prepared financial plans, coordinated with AMCs, and managed reconciliations.

Executive – Complaint Management | Sep 2012 – Apr 2014

• Resolved escalated complaints from appellate authorities and HO.
• Coordinated with cross-functional teams to reduce repeat complaints and ensure SLA adherence.

Operations Executive | Sep 2008 – Feb 2010

• Supported branch operations for insurance & loan services, ensuring IRDA compliance.
• Managed MIS reporting, sales team support, and petty cash/vendor payments.

MBA (Finance)

NISM-II -A – RTA – Corporate Certification Exam – 92%