Headline

Legal & Compliance Professional | U.S. Financial Services Operations and Client Service | Regulatory Compliance (ERISA, IRS) | Legal Documentation & Contract Review | Transitioning into Legal Operations & Fintech

About

I am a Legal & Compliance professional with 8+ years of experience in U.S. financial services operations, specializing in regulatory compliance, structured legal documentation review, and high-volume case processing in controlled, audit-driven environments. My experience spans working with complex financial and legal frameworks (including ERISA and IRS regulations), where I have been responsible for reviewing, validating, and ensuring the accuracy of sensitive documentation and transactions. I have consistently worked in SLA-driven roles requiring strong attention to detail, risk awareness, and adherence to strict compliance standards. Over the course of my career, I have collaborated closely with attorneys, external stakeholders, and cross-functional business teams to resolve escalations, interpret regulatory requirements, and ensure operational accuracy. This has helped me develop strong analytical thinking, structured problem-solving abilities, and clear professional communication skills. Key areas of experience include: • Legal and financial document review and validation • Regulatory compliance and risk identification • High-volume operations in U.S. financial systems • Stakeholder and escalation management • Legal correspondence and structured communication I am now looking to transition into Legal Operations, Compliance, or Contract-focused roles within fintech, SaaS, or insurance organizations, where I can apply my experience in regulated environments while expanding into commercial legal and technology-driven workflows. I am particularly interested in roles that involve contract lifecycle management, compliance operations, and cross-functional legal support in fast-paced, global organizations.

Location

Bengaluru

Work experience

Assistant Plan Manager at Voya India, Feb 2023 - Jul 2025 · 2 yrs 6 mos, Bengaluru, Managed U.S. Defined Contribution (401k) retirement plan operations with a strong focus on regulatory compliance, data accuracy, and participant lifecycle management under IRS and ERISA frameworks. - Reviewed and maintained participant-level financial and plan data ensuring accuracy, completeness, and compliance with U.S. regulatory requirements - Supported Plan Sponsors, participants, and TPAs by resolving complex account and documentation-related queries within SLA timelines - Ensured ongoing compliance with IRS regulations through accurate updates of retirement plan records and structured financial data - Assisted in identifying data inconsistencies and coordinating corrective actions across internal systems and stakeholders - Worked in a high-volume, regulated environment requiring strong attention to detail, risk awareness, and process adherence - Contributed to improving internal record-keeping practices aligned with evolving client and regulatory requirements

Senior Associate - QDRO at Voya India, Aug 2022 - Jan 2023 · 6 mos, Greater Bengaluru Area, Handled structured financial and legal documentation review related to Qualified Domestic Relations Orders (QDROs) within U.S. retirement plan frameworks. - Reviewed and validated QDRO documentation to ensure compliance with ERISA and IRS retirement regulations - Processed high-sensitivity financial documentation impacting retirement plan distributions and participant account adjustments - Identified discrepancies in legal/financial records and coordinated resolution with internal teams - Supported accurate execution of retirement benefit-related transactions with strict adherence to compliance guidelines - Maintained audit-ready documentation standards in a regulated financial services environment

Senior Analyst at Principal, Pune, Aug 2019 - Aug 2022 · 3 yrs 1 mo, Pune/Pimpri-Chinchwad Area, Worked in U.S. retirement plan operations with responsibility for reviewing, processing, and validating Qualified Domestic Relations Orders (QDROs) and other sensitive retirement benefit scenarios in a regulated financial environment. - Reviewed and processed QDRO documentation to determine accurate retirement benefit splits in compliance with U.S. court orders and regulatory guidelines - Ensured accuracy and completeness of legal and financial documentation prior to execution of retirement benefit distributions - Handled complex retirement scenarios including death claims, beneficiary payouts, and custodian/agent assignments for incapacitated participants - Served as Subject Matter Expert (SME) for death-related Required Minimum Distributions (RMDs), ensuring compliance with U.S. retirement regulations - Managed client escalations and resolved complex queries involving plan sponsors, TPAs, attorneys, and internal operational teams - Drafted formal legal and operational correspondence ensuring clarity, accuracy, and compliance with process requirements - Contributed to process standardization by documenting workflows and creating structured knowledge repositories for operational consistency - Developed and maintained centralized trackers for case management, errors, and operational queries to improve visibility and control - Mentored and trained new joiners through structured onboarding, coaching, and performance support - Collaborated in cross-functional teams to improve process efficiency, accuracy, and turnaround time in high-volume environments

Associate Attorney-I at DWF Mindcrest, Jul 2017 - Jul 2019 · 2 yrs 1 mo, Pune/Pimpri-Chinchwad Area, Worked on legal analytics and structured legal content review for a global legal intelligence and business information platform, focusing on case law analysis, classification, and legal data interpretation. - Analyzed legal case opinions and applied structured classification and treatment logic for a global legal database platform used by legal and business professionals - Reviewed and interpreted legal content to ensure accuracy, consistency, and alignment with defined legal taxonomy frameworks - Supported legal data processing and analytics initiatives contributing to legal knowledge management systems - Collaborated with cross-functional teams on process improvement and tool automation opportunities to enhance workflow efficiency - Engaged with clients on project updates, requirements gathering, and process enhancement discussions - Proactively took additional responsibilities to strengthen domain knowledge in legal research and structured legal analysis - Mentored new joiners and contributed to internal knowledge-building initiatives to improve team capability and process understanding

Legal Intern at Jayati Chowdhury and Associates, Jan 2017 - Feb 2017 · 2 mos, Greater Kolkata Area, Working under the mentorship of Learned Adv. Jayati Chowdhary, it enlightened me about the working of High Court of Calcutta and the Debt Recovery Tribunal. It also provided me with an opportunity to witness Arbitration proceedings being conducted.

Contributing Author at DeadlyLaw, Jan 2015 - Jan 2016 · 1 yr 1 mo, Bengaluru Area, India, This program requires conducting research and writing articles (500 – 1000 words per article) on various topics on law to keep the legal world updated and informed through your articles on contemporary issues prevailing in the Indian Legal System. On account of which, I have gained exposure and recognition and knowledge of various subjects of law in depth.

Education

B.A. LL.B., Law, KLE Society's Law College,Bangalore

St.Joseph's School,Bhaktinagar