Lalitha Devi Poongavanam

Experienced banking professional with more than 5 years of expertise in finance,client services, and transfer agency operations. Proven track record in a Senior Client Operation Officer roles, specializing in account opening, trade placement, and global support customer service. Proficient in regulatory compliance, client relationship management, and process optimization. Seeking a senior position within the banking sector, Insurance sector, Health Care sector and others sectors, to leverage extensive experience and drive organizational success.

CONTRIBUTIONS/INITIATIVES 

Training and Development Programs:

• Developed comprehensive training plans and proficiency matrices for staff, fostering a culture of continuous learning and professional development.
• Achievements include enhancing employee skills,achieving high satisfaction and retention rates, and ensuring compliance with industry standards and regulations.

International ProjectManagement:

• Successfully led a short-term assignment in Luxembourg, overseeing the transferof tasks from Ninety One & Goldman Sachs to Malaysia. This involved training new staff, reviewing and updating procedures, and ensuring seamless transitions while maintaining qualitystandards.
• Managed a migration project for the dispatching process,completing it ahead of

schedule and within budget constraints.

Client Reporting and Communication:

• Implemented effectivecommunication strategies by sending regular reports (such as estimate reports, confirmed reports,large trade reports,Clearing reports) to stakeholders including Bank of New York Mellon and State Street Bank.
• Ensured timely and accurate delivery of statements, shareholder reports, and transaction reports, demonstrating strong client relationship management skills and adherence to regulatory requirements.

Employment and Experience

Caceis Malaysia Sdn Bhd                                               Oct 2018 – Present

Senior Client Operation Officer - Shareholder Services Client Operations

• Spearheaded  successful  migration  of  Transfer  Agent   operations  from Luxembourg to Malaysia for esteemed clients Ninety One and GSAM, overseeing   meticulous procedure reviews on dealing processed, cash processes, reporting, and transfers.
• Managed a high-value client portfolio, ensuring precise and timely processing of fund transactions, while adhering to stringent regulatory and internal compliance standards
• Receive, reconcile and process subscriptions, redemption, transfers, switches including facilitation of investor money movements.
• Implemented process enhancements resulting in a notable 20% increase in operational efficiencyand a reduction in error rates.
• Conducted comprehensive training sessions on various aspects of transfer agency functions, enhancing the proficiency of junior staff members.
• Conducting through reviews of investor documentation to ensure compliance with anti-money laundering (AML) and know your customer (KYC) regulations.
• Collaborated closely with cross-functional teams and stakeholders to address inquiries, resolve discrepancies, and uphold exceptional service standards.

Capital Platform                                                                   Feb 2018 - Sep 2018

Client Servicing Officer (Middle East)

• Facilitated seamless account opening processes, managing client inquiries, conducting thorough KYC checks, and ensuring completeness of documentation in compliance with regulatory requirements.
• Expertly executed trade placements for various financial instruments including ETFs, structured notes, bonds, and funds, liaising with brokers and trustees to confirm transactions.
• Played a pivotal role in managing end-to-end onboarding processes for clients, ensuring timely completion of account opening formalities and documentation collection.
• Collaborated with brokers and consultants to provide clients with necessary account closing documents and facilitate smooth transitions.
• Provided advisory support to clients on account types and trade placements, ensuring prompt resolution of queries and escalations to maintain high service standards.

PROJECT INVOLVED

Migration Project on Dispatching Process                 Apr 2022 – July 2022

Managed a project to migrate dispatching processes from Luxembourg to Malaysia.

Accomplishments:

• Successfully completed the migration ahead of schedule,demonstrating efficient project management skills.
• Coordinated operational activities between departments or teams, ensuring smooth workflows and timely execution.
• Ensured adherence to deadlines and service level agreements throughout the migration process. 

ShortTerm Assignment to Luxembourg                               Feb 2019 - May 2019

• Led a team of 5 members to successfully relocate operations from Luxembourg to Malaysia for clients Ninety One & Goldman Sachs.

Accomplishments:

• Transferred tasks and workflows from Luxembourg to Malaysia, ensuring seamless transition..
• Conducted training sessions for new staff on various job aspects including cash processes, reporting, transfers, subscriptions, redemption, and handling email queries.
• Reviewed and updated procedures and checklists for the two investors.               

Education and qualifications

• Brickfield Asia College - Kuala Lumpur Malaysia

Diploma, Diploma in Tesol (Teaching English As A Second Language), 2013

CERTIFICATES 

• Sanctions
• Reputational Risks
• Operational Risks
• Information Security Due Diligence
• Anti Money Laundering & Counter Terrorist

TRAINING 

• Anti-Money Laundering Training
• Compliance Training
• Ethics and Professional Conduct Training
• Diversity and Inclusion Training
• Sales and Customer Service Training
• Leadership and Management Training