Oct 2022 – Dec 2023 · 1 yr 2 mos · Hyderabad, Telangana, India · Hybrid

• Convert Client and Regulatory rules from MIG21 to Charles River Application.
• Develop and implement rule coding in the UAT/DEV environment, ensuring seamless promotion to the PROD environment.
• Establish new Account Templates and Group Structures in CRIMS UAT, optimizing system
• functionality.
• Facilitate effective coordination between the Project team and stakeholders, guaranteeing
• the timely delivery of tranches and instances in adherence to SLAs.

Apr 2020 – Jul 2023 · 3 yrs 3 mos · Hyderabad, Telangana, India

• Interpretation of both Regulatory and Client Guidelines and coding the restrictions to compliance systems.
• Testing the new coded or amended rule before it’s deployed to Trading Environment.
• Performing post- trade compliance monitoring for North American region.
• Analysing violations/breaches as per guideline restrictions and reporting it to Portfolio Managers / Client.
• Monitoring Regulatory rules (1940 ACT), Prospectus and IBC rules to check whether the portfolio is within the compliance.
• Identifying rules triggering false batch exceptions and giving permanent solutions on how to snooze or downgrade them to reduce batch noise.
• Documenting Standard Operating Procedures for BAU activities, conducting weekly/monthly meetings with onshore team.
• Training/Assisting new team members & providing support on the process front.

Mar 2017 – Apr 2020 · 3 yrs 1 mo · Bengaluru, Karnataka, India

• Performing daily review of Guideline monitoring system to highlight any potential violations of regulation, Policy rule or Procedure and take necessary actions to remediate it.
• Ensuring that portfolios are in compliance with the investment guidelines using compliance tool Sentinel and they meet the client requirements for US Fixed Income Rules.
• Interacting with Portfolio Managers, Client Relationship Managers, and Legal & Compliance team across various regions including London, Delaware and Columbus.
• Working on Financial and Fund related account systems to review and confirm data while processing daily alerts
• Preparing compliance report of client portfolios on a monthly/quarter basis and sharing with Portfolio Managers
• Work closely with fund administrators and auditors, Act as a liaison between internal and external auditors.
• Identifying areas of process improvement and working towards its achievement

Dec 2013 – Mar 2017 · 3 yrs 3 mos · Bengaluru, Karnataka, India

• To ascertain and see the accuracy of the financial data in our financial product meeting the pre-set quality standards.
• Maintaining pricing and reference data on Thomson Reuters products by doing extensive research which includes (exchange and contributed data) and ensure documentation is maintained.
• Ensure all client queries (received via mails / phone) are responded and addressed to the point promptly and accurately.
• Proficient in coordinating with internal/external customers for running successful business operations and experience of implementing procedures and service standards for business excellence.