Kaamna Ramphul

Accounting

• Zero defaults for accounts filing, tax filing, foreign regulatory filings, settlement of regulatory fees amongst others
• Assessment of tax liability for tax returns filed for entities taken-over and recomputation for availing of refund
• Review of management accounts and financial statements (limited reviews, interim and statutory audits, consolidation of accounts with branch) for GBCs, Trusts/Foundations, CEF Professional CIS, CIS Manager, self-managed schemes, AIFs, master/feeder fund structures, FVCIs, Limited Partnership structures, Authorised Companies
• Review of equalisation workings, interest workings on default investors, distribution agent / placement fee workings, investment and divestment schedules, drawdown and distribution notices and workings and capital account statements
• Review working files and NAV calculation for funds
• Cash and portfolio reconciliation to bank and broker
• Process invoices and bank transfers for clients, and ensure liaison with banks for settlements
• Preparation and filing of statutory returns with relevant authorities, including the filing of annual returns, APS returns, PAYE returns, TDS returns, and Indian tax returns within statutory due dates
• Effective use of accounting software - peachtree and tally and knowledge of Efront

Corporate Administration

• Involved in registration, due diligence and reporting for FATCA and CRS purposes
• Review of documents for filing with authorities or other service providers including but not limited to banks, insurance, custodians
• General administration and secretarial such as drafting and review of simple and complex minutes, review of agreements, pledge of shares or other non-disposable assets, opening of accounts, issue, transfer or redomination of shares amongst others
• Effect statutory filings with FSC, ROC and other statutory bodies
  

Compliance / Investor servicing functions

• Investor onboarding - review of KYC documents at onboarding and risk assessment of investors
• AML screening to ensure investor compliance with money laundering All Investor Types Considered (individual, nominee, entities, trusts, foundations, partnerships etc.)
• Collection and Identification of Beneficial Owners and Shareholders Upfront and ongoing screening of investor and associated parties (UBOs, directors, trustees etc.)
• PEP identification and Reporting to senior management
• Dealing with adverse media
• Assurance testing
• Periodic review - KYC refresh based on frequency associated with the risk of the investors
• Review of Investor Registers and tracking of KYC renewal date under Continuous Monitoring Program
• Distribute Investor Communications/ mailings via manual email, portal or system generated
• AML audits - Attend to AML audit checklists and queries
• Assisting MLRO / DMLRO / CO to churn out reports
• Assist CO on issuing the business risk assessment report and AML Framework of FIs
• Assist in internal file reviews
• Coordinator for AML trainings for directors / officers/ employees of FIs
• Coordinator for compliance matters for internal audit
• Coordinator for compliance related surveys from the regulatory body
• Representative for FSC onsite inspections / offsite reviews
• AML risk profiling for AFSML administered entities
  
  
  Miscellaneous
• Responsible for all operational aspects of team deliverables including effective management of the resources and activities, and providing weekly updates to Management
• Develop full awareness of individual clients and their requirements and manage client relationships, ensuring that they are satisfied with level of service
• Involved in fund structuring, administration and winding up of global business companies
• Dealt with amalgamation of companies
• Handled files take-over from other MCs and review of those files prior and post takeover
• Ensuring adherence to internal processes and handling of KPI reports
• Assist and guide clients in implementation and administration of their structures
• Review of MFS surveys and other FSC surveys