Mrunal Dubey

• Entity Documentation: Owner of client due diligence, periodic reviews, changes in circumstances, production and quality control specifically for APAC region (Singapore, Hong Kong, China)
• Regulatory Compliance & Reporting: Responsible to review W9, W8 series FATCA forms, CRS self-certification forms, perform FATCA /CRS declarations, registrations and annual reporting
• US Dividend / Income reporting: Preparing the withholding reports for submission to withholding agents, including details of US Dividend / Income, recipient and the applicable rate of withholding
• Responsible for process coordinating calls with stakeholders to assess risk and policy adherence
• Prepared working papers, reports and supporting documentation for internal audit
• Interpreted regulatory rules and communicated with others through policies and procedures
• Working with advisory team for innovation and insights on FATCA CRS declarations
• Establish client relations through communication and helpful interactions
• Responsible for regulatory compliance and reporting activities with adequate supervision
• Perform system UAT during upgrades / enhancements

Subject Matter Expert on financial regulations including: FATCA, AEI, QI and DIRT requirements for capital market instruments

• Ability to align key stakeholders, including operations, technology, risk, legal and tax for successful compliance
• Responsible to create metrics and reports for the project
• Mentored and guided 5 employees ensuring all were trained in project readiness and capable of performing assigned duties
• Initiated multiple process improvements and automations while outlining business requirements
• Collaborated with management to identify and prioritize updates and solutions
• Establish best practices to reduce clients time to compliance and regulatory risk
• Evaluating and monitoring control reports for FATCA compliance, performing client outreach to obtain accurate documentation
• Actively participating in UAT testing and implementation
• Worked with multidisciplinary teams in new product rollout, effectively addressing inquiries and troubleshooting issues

• Review and analyze OTC derivative trading agreements inclusive of ISDA, CSA, GMRA, GMSLA
• Review manager and fund documentation including Formation Documents, Offering Memorandums, Financing Agreements UCITS, AIFMD via public sources, IHS Markit (S&P Global)
• Conducted and managed daily outreach to ensure customers adherence to regulatory compliance EMIR, MiFID II, FATCA, CRS, FINRA, Dodd-Frank
• Responsible to initiate operational improvements and resolve production problems, resulting in quality client service
• Discovered root causes of problems and identified appropriate solutions. Recommended process improvements to continually identify, analyze and fix constraints and challenges
• Investigated system issues and implemented resolutions to reduce downtime
• Communicate effectively with peers, front-line and management when requesting information or documentation and addressing concerns or findings