Siddhi Koli

Audit Executive @Shah Kapadia & Associates

Mumbai, IN

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.