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.
