Rupa Masurkar

• Recognized for outstanding performance and contribution to the team (RBC Performance Award Winner for 2 years)
• Assisted in training new team members, sharing best practices and expertise.
• Strengthened client relationships through regular communication and proactive follow-up on inquiries.
• Developed strong rapport with clients through active listening and empathetic understanding of their goals and concerns.
• Assisted branch manager in operations of the branch
• Analyzed existing and new products of the bank, assessing their utility for different types of clients.
• Identifying the opportunity for referring to investment planners and mortgage advisors

• Company Overview: North Star was a compliance service provider firm catering to financial services clients
• Conducted regular reviews of existing policies and procedures, ensuring continued alignment with evolving industry standards and best practices.
• Conducted thorough audits of internal operations, identifying areas for improvement and recommending corrective actions.
• Improved compliance processes by conducting comprehensive risk assessments and implementing internal controls.

• Company Overview: Silverdale Capital Pte Ltd was a Monetary Authority of Singapore licensed fund management company focused on fixed-income fund management. Silverdale had clients located globally, including Singapore, UAE and the UK.

Legal:

• Drafted, reviewed, and negotiated investment agreements, employment agreements, and shareholders agreements, ensuring compliance with legal standards and protecting the company’s interests.
• Drafted and reviewed policies and procedures in accordance with regulatory requirements.
• Streamlined contract review processes and optimized legal documentation workflows, reducing resolution time and enhancing operational efficiency.
• Managed outside counsel effectively, reducing costs while maintaining high-quality representation in complex litigation matters.
• Analyzed the data protection legislations in the jurisdictions where company has operations
• Conducted legal research and analysis to support decision-making and risk management.
• Advised and collaborated with external attorneys on complex legal matters, ensuring alignment with the company's legal strategy.
• Attended court hearings and trials, taking detailed notes and assisting attorneys in case preparation.

Compliance:

• Monitored industry and regulatory developments, preparing summaries or presentations to effectively communicate regulatory changes to management.
• Conducted research on the regulatory frameworks of various jurisdictions (e.g., USA, Canada, Singapore, Hong Kong, UAE) to determine registration requirements or applicable exemptions.
• Reviewed marketing and sales communication materials (including fund PPM, website content, product profiles, sales presentations, video commentaries, due diligence questionnaires, etc.) to ensure compliance with regulatory requirements.
• Developed a marketing material review checklist to automate the workflow of the routine compliance review process, saving time.
• Created a database of applicable regulations and periodic updates to the database.
• Conducted thorough due diligence during business transactions, partnerships, and investments to mitigate potential corporate risks.

Secretarial:

• Managed the formation and incorporation of companies.
• Filed and registered documents, forms, and applications with the corporate registry on behalf of the company.
• Maintained secretarial records, statutory books, and registers.
• Handled all work related to shares, including their transfer and transmission.
• Prepared agendas, notices, and minutes for committee, board, and other meetings.
• Tracked and monitored Board and Committee Action Items to ensure timely execution.

• Company Overview: Quantum Advisors is registered with the Securities Exchange Commission, USA (SEC) as an Investment Adviser and a Restricted Portfolio Manager with the Canadian Provinces of British Columbia (BCSC), Ontario (OSC), and Quebec (AMF)
• Was designated as Chief Compliance Officer for US Securities Laws for the affiliate
• Was designated as a corporate secretary
• Work experience is similar to that listed under "Silverdale" above.