Siddhi Koli

Managing PMS-related regulatory compliance and overseeing team & client communication. Conducting internal audits for Portfolio Management and Broking services. Verification and certification of PMS client portfolios and disclosure documents.

Audit Executive - Shah Kapadia & Associates

(2024-08)

• Managing PMS-related regulatory compliance and overseeing team & client communication.
• Conducting internal audits for Portfolio Management and Broking services.
• Verification and certification of PMS client portfolios and disclosure documents.
• Preparing and submitting SEBI monthly regulatory reporting.
• Reconciliation of revenue and asset holdings for Alternative Investment Funds (AIF), Portfolio Management Services (PMS), and Mutual Funds (MF) managed by a reputed AMC.
• Ensuring accurate reconciliation of fund inflows/outflows, asset purchases, income accruals, and NAV-linked movements.
• Verification of UCC, bank book, holding statements, segregation & retention compliance.
• Preparing internal audit reports including observations, compliance gaps, and recommendations for corrective actions.
• Reviewed client onboarding, KYC, and compliance with SEBI regulations.
• Actively contributed to audit reporting and compliance documentation for PMS clients.

Audit Associate - M. P. Chitale & Co.

(2023-10 - 2024-08)

• Conducted internal audits of PMS clients under SEBI regulations.
• Verified equity transactions and valuations.
• Reviewed income and expense items, including corporate actions, audit fees, management fees, STT, realized gains/losses, and operating expenses.
• Verified cash corpus, security valuation, and security corpus.
• Assisted in PMS-related compliance audits and reporting.

Administrative Associate - Ornisa Pvt. Ltd.

(2023-05 - 2023-09)

• Managed day-to-day operations of the organization, ensuring smooth workflow and timely task execution.
• Maintained and reconciled Petty Cash Book for accurate cash flow tracking and expense management.
• Prepared detailed Cost Sheets for various items, supporting pricing decisions and cost optimization.
• Drafted and issued Quotations to clients, aligning with company pricing policies and client requirements.
• Oversaw Logistics Management, coordinating dispatches and deliveries to ensure timely order fulfillment.
• Handled Vendor Communication to strengthen supplier relationships and negotiate favorable terms.
• Maintained and updated the Sales Log, providing accurate sales data for reporting and analysis.
• Organized and coordinated Exhibitions & Trade Events, representing the company and enhancing brand visibility.
• Managed Inventory Control, preparing and updating stock registers to ensure availability and minimize shortages.

Master of Business Management - KPB Hinduja College of Commerce

Bachelor of Commerce - Bharatiya Vidya Bhavan's Hazarimal Somani College