Shweta DwivedI
Chicago,USA
Summary
Dynamic leader in investment operations with a focus on ultra-high-net-worth portfolios. Expertise in optimizing cash movement, onboarding, trading, and compliance across custodial platforms. Proven ability to implement process improvements and automation initiatives, enhancing service delivery and ensuring regulatory compliance.
Overview
13
13
years of professional experience
Work History
Team Lead RIA UHNW- Investment Operations
BMO Financial Group
Chicago, US
02.2023 - Current
- Directed end-to-end investment operations for ultra-high-net-worth client portfolios, overseeing cash movement, trading, and compliance across custodial platforms.
- Managed and mentored a team responsible for client lifecycle execution and portfolio implementation, driving accountability in operational delivery by establishing KPI.
- Ensured accurate reconciliation and compliance in money movement and trading activities across multiple custodial platforms.
- Collaborated with advisors to execute complex portfolio strategies, including alternative investments like private equity and hedge funds.
- Spearheaded process improvements and automation initiatives that streamlined operations and reduced operational risk.
- Partnered with technology teams on platform enhancements, UAT testing, and workflow design to support scalable infrastructure.
- Strengthened relationships with custodians and vendors ensuring adherence to Service level agreements.(Charles Schwab, State Street/FNZ , Fidelity, Northern Trust and Pershing)
- Led AML/KYC processes to ensure compliance with regulatory standards and effective risk mitigation.
Senior Client Operations Associate
BMO Financial Group
Chicago, US
07.2018 - Current
- Executed onboarding for complex ultra-high-net-worth clients across custodial platforms through collaboration with CPAs, attorneys, family offices, and custodians.
- Delivered comprehensive services during client onboarding and asset reconciliation for custodians.
- Facilitated advisor requests related to market funds, hedge fund investments, private equity, and charitable contributions.
- Served as initial point of contact for funds regarding operational inquiries and service needs.
- Tracked cash flows associated with capital calls, distributions, and return of capital while analyzing transaction documentation.
- Reviewed investment transaction features and accruals to ensure accuracy and compliance with regulations.
- Maintained alignment with advisors, governance bodies, custodians, funds, and other key stakeholders.
Deputy Manager – Asset Lending Manager
ICICI Bank Limited
New Delhi, India
11.2012 - 02.2018
- Achieved business sales targets for equipment finance, managing portfolio worth 1 billion Indian rupees.
- Oversaw team of 8 and directed selling agents to enhance market penetration.
- Managed entire loan cycle from initiation to no objection issuance, addressing pre and post-disbursement issues.
- Conducted underwriting and credit analysis for retail and commercial business loan proposals.
- Analyzed balance sheets and financials, preparing notes for presentation to credit team.
- Trained and enrolled direct selling agents on bank policies to drive business development.
- Tracked competitor networks, identifying unrepresented markets for future territory expansion.
- Liaised with OEMs and dealers to understand market trends and generate leads.
Education
CFP -
Northwestern University
Chicago, IL01-2023
MBA - Banking and finance
Manipal University
Karnataka, India01-2014
Certificate for Leadership Development -
TAPMI
Udupi, India01-2014
Skills
- Investment operations and portfolio management
- Cash management and reconciliation
- Trading and custodial oversight
- Client onboarding and compliance
- Regulatory adherence
- Process optimization and technology enablement
- Stakeholder and vendor management
- Strategic planning and leadership
- Employee training and development
Timeline
Team Lead RIA UHNW- Investment Operations
BMO Financial Group
02.2023 - Current
Senior Client Operations Associate
BMO Financial Group
07.2018 - Current
Deputy Manager – Asset Lending Manager
ICICI Bank Limited
11.2012 - 02.2018
CFP -
Northwestern University
MBA - Banking and finance
Manipal University
Certificate for Leadership Development -
TAPMI