Swati Wadkar

Results-driven financial services professional with 7 years of experience specializing in Transfer Agency operations and AML/KYC compliance. Strong expertise in fund transaction processing, reconciliations, investor servicing, and SLA management, combined with working knowledge of client onboarding, CDD/EDD, and regulatory compliance. Proven ability to manage high volumes with accuracy, act as SME, and support process improvements aligned with business and regulatory requirements.

Specialist Financial Analyst - SS&C Technologies

(2020-07)

• Managed end-to-end Transfer Agency operations including subscriptions, redemptions, switches, and fund transfers.
• Ensured accurate NAV-based trade processing and timely settlements within SLA timelines.
• Investigated and resolved failed/suspended trades and discrepancies post valuation.
• Performed reconciliations and ensured compliance with regulatory frameworks such as FCA and CASS.
• Acted as SME for process-related queries and supported junior team members.
• Coordinated with internal teams and stakeholders for issue resolution and process improvements.
• Generated reports and tracked KPIs to maintain service quality and efficiency.
• Supported AML/KYC processes including onboarding, periodic reviews, and screening.

Financial Analyst - Atos Syntel

(2019-07 - 2020-07)

• Supported Transfer Agency operations for individual, pension, and corporate accounts.
• Executed fund transactions including investment setup, redemptions, switches, and transfers.
• Performed quality checks to ensure zero-error processing and minimize financial impact.
• Maintained SLA adherence while handling multiple transaction types.
• Coordinated with clients and advisors to resolve discrepancies.

Bachelor of Commerce - Accounting & Finance (2019)