Open to opportunities

Sameer Shah

@sameershah1

Message

I lead middle-office and compliance operations to ensure accurate, audit-ready financial services.

India

Message

What I'm looking for

I’m open to APAC & EMEA opportunities where I can own client onboarding, KYC/due diligence, and regulatory compliance while managing trade processing, reconciliations, and audit-ready operational controls in fast-paced environments.

I’m an Operations and Middle Office professional with 10+ years of experience in global financial services, investment operations, regulatory compliance, client onboarding, trade processing, reconciliations, and stakeholder management. I focus on transaction lifecycle management, KYC and due diligence, operational controls, and deadline-driven execution.

Most recently as a Team Leader – Investment Compliance & Knowledge Operations at State Street, I led teams for trade surveillance, investment compliance, and exception management across equity and fixed-income products using Charles River (CRIMS). I coordinated with Compliance, Risk, Operations, and Front Office, managed escalations for high-risk regulatory exceptions, and prepared compliance metrics and operational dashboards for senior leadership—supporting internal and external audits with zero material findings while improving control effectiveness and reducing operational exceptions.

Currently as a Senior Analyst – Client Onboarding Operations at Moder, I support onboarding verification and regulatory certification processes for institutional clients through calls, emails, and documentation reviews. I review KYC documentation, maintain regulatory compliance standards, resolve client queries within defined service levels, and continuously contribute to process improvements that enhance operational efficiency and client experience.

Experience

Work history, roles, and key accomplishments

Current

Senior Analyst - Client Onboarding

Current

Moder

Mar 2026 - Present (4 months)

Support onboarding verification and regulatory certification processes for institutional clients through calls, emails, and documentation reviews. Review KYC documentation, ensure compliance with internal policies, handle client queries, and contribute to process improvements.

Client Onboarding & Regulatory Regulatory Compliance Due Diligence Issue Resolution Process Improvement

Team Leader - Investment Compliance

State Street

Jun 2022 - Jun 2025 (3 years)

Led investment compliance and knowledge operations, overseeing trade surveillance and exception management for equity and fixed-income products. Managed escalations, prepared compliance metrics and operational dashboards, supported audits, and improved operational controls.

Trade Surveillance Investment Compliance Exception Management Escalation Management Regulatory Exception Handling & Compliance Dashboards Audit Support Charles River (CRIMS)

Associate - Middle Office

ICICI Securities Ltd.

Jul 2021 - Jun 2022 (11 months)

Supported end-to-end client onboarding workflows within middle office operations. Processed and validated client documentation for regulatory completeness, performed due diligence reviews, and resolved operational queries within turnaround times.

Client Onboarding Validation Regulatory Compliance Due Diligence Escalation Handling Operational Controls Process Improvement

Operations Executive - Regulatory

National Securities Depository Ltd.

Jun 2018 - Jul 2021 (3 years 1 month)

Executed regulatory filings and disclosures under SEBI, PIT, and SAST frameworks. Validated submission data, resolved exceptions, coordinated implementation of new requirements, and supported audits with complete documentation trails.

Regulatory Filings SEBI Disclosures PIT Framework SAST Data Validation Audit Support

Operations Analyst - Reporting Support

JPMorgan Chase & Co.

Nov 2015 - Jun 2017 (1 year 7 months)

Prepared and reviewed MIS and operational reports supporting financial services clients. Conducted reconciliations and monetary validations, investigated discrepancies, and supported internal audits and compliance reviews with evidence documentation.

Operational Reporting Reconciliations Financial Validation Audit Support Evidence gathering

Senior Associate - Reconciliation Ops

SSGC GlobeOp Financial Services Ltd.

Aug 2015 - Oct 2015 (2 months)

Performed daily reconciliations between trade capture systems and custodian records. Investigated trade breaks, coordinated with prime brokers and fund managers for resolution, and monitored exceptions to support timely settlement and accurate reporting.

Reconciliations Financial Reporting

Business Process Senior Associate

State Street Syntel Services Pvt. Ltd.

Feb 2010 - Jun 2015 (5 years 4 months)

Managed daily transfer agency operational activities for UK financial services clients. Performed transaction processing, reporting, and reconciliations per SLAs while maintaining process controls, operational documentation, and quality standards, including training and continuous improvement initiatives.

Transaction Processing Reporting Reconciliations SLA Management Operational Controls Quality Standards Process Improvement

Accountant

Pravin Kore Tax Consultants Pvt. Ltd.

May 2007 - Jan 2010 (2 years 8 months)

Prepared financial accounts and tax returns for individual clients. Assisted with cash flow and fund flow statements and supported quarterly financial reporting while maintaining accurate accounting records and statutory compliance.

Fund Flows Statutory Compliance