RUPA MASURKAR

Compliance responsibilities handled during the entire work experience include:

• Identifying potential areas of compliance vulnerability and developing and implementing corrective action plans
• Advising the management on various regulatory changes from time to time and engaging in strategic efforts to implement regulatory updates
• Performing comprehensive analysis of compliance requirements of financial and securities regulators worldwide (viz., under U.S SEC regulations, Singapore MAS regulations, Canadian provincial securities regulations, FATCA/CRS, blue-sky laws in the U.S.) and client investment mandate
• Liaising with management / key stakeholders to convey the expectations of the regulator and develop an implementation plan/ internal control in coordination with the subject matter expert
• Formulating the policies and procedures and documenting internal controls periodically to provide reasonable assurance regarding the reliability of the compliance program
• Monitoring compliance with processes, policies, procedures, and standards regarding applicable securities laws (viz. Singapore, India, Mauritius and Europe), and data protection acts (viz GDPR, Singapore PDPA, Mauritius data protection laws)
• Determining the applicability of the fund distribution regulations in the countries where the Firm has operations, viz Europe, Hong Kong, USA, Canada, Singapore
• Ensuring compliance with CFA institute's GIPS (investment performance) standards and advertisement guidelines, while reviewing marketing materials and the firm's websites
• Establish a strong compliance culture in the organization and impart compliance training to the employees and sensitize them about regulatory and internal compliance requirements,

• Proactively engaging with clients in the branch and delivering an outstanding service experience by completing transactions and by identifying opportunities for advice, solutions, digital enablement and partner introductions
• Spotting opportunities to offer additional advice, introduce clients to the capability of RBC partners or personally fulfill client solutions
• Resolving and preventing client banking problems
• Manage risks by adhering to compliance routines, processes, and controls to protect client and shareholder interests while completing transactions

Silverdale Capital Pte Ltd is a Monetary Authority of Singapore licensed fund management company focused on fixed-income fund management

Silverdale has clients located globally, including Singapore, UAE and the UK

Projects handled:

1) Setting up of investment fund structure in Singapore as per the new Variable Capital Company Act

2) Registration of investment funds and manager in Singapore, UK and UAE

3) Development of compliance programs/ internal controls for VCC as per regulatory requirements in Singapore, UAE and UK

4) Prepared Prospectus and subscription documents for the investment funds

5) Created AML Compliance plan for Silverdale

6) Customized a compliance calendar to adhere to all the applicable rules and regulations

Quantum Advisors is registered with Securities Exchange Commission, USA (SEC) as Investment Adviser and a Restricted Portfolio Manager with Canadian Provinces of British Columbia (BCSC), Ontario (OSC), and Quebec (AMF)

Was designated as Compliance Officer for US Securities Laws for the affiliate

There was a brief gap in work experience from June 2015 to December 2015 due to relocation to the United States of America for personal reasons

Projects handled:

• Analysis of applicable laws and regulations for relying on exemptions and registration with OSC as a Restricted Portfolio Manager, registration with SEC and other blue-sky laws
• Creating a database of the applicable regulations in the USA and Canada and periodic updates to the database
• Transition to the digital database and automation of the compliance calendar
• Europe fund marketing regulations analysis and developing policies and procedures, including Dos and Don'ts for the business line
• Maintained an accurate and consistent repository of the information to be provided to the regulator, clients and other stakeholders
• Investor onboarding process development (including AML/ KYC, risk-based review/ due diligence, and suitability analysis) for investors across the globe
• Developed social media, anti-corruption policies and procedures for the firm
• Participated in a working group discussion with the Mauritius regulator for improving AML / KYC regime in Mauritius within FATF framework and enhancing foreign investments in Mauritius
• Drafted fund prospectus as per the regulatory requirements and timely update of the same
• As Anti-Money Laundering Compliance Officer, designed policies and procedures to ensure compliance with Anti-Money Laundering laws

• Analyzed and applied legal principles and performed legal research to support litigation strategy
• Researched and drafted contracts, agreements and proposals
• Represented clients in court hearings and in negotiations with other parties
• Prepared and reviewed contracts and other legal documents following applicable regulations
• Interpreted laws, rulings and regulations for individuals and businesses.