Business Analyst Resume

PROFILE SUMMARY

A seasoned finance professional with over five years of experience working in Investment Compliance, Data Governance, Controls Assessment and regulations including Investment Company Act of 1940, NI 81 - 102, Regulation W and Basel III.

AREAS OF EXPERTISE:

Worked in the Investment Compliance office of a global asset management firm to ensure their funds are in compliance with the Investment Management Agreements and regulatory requirements
Specialized in pre-trade and post-trade compliance, interpreting IMA guidelines, monitoring data quality and program management
Proficient in using applications such as Charles River, MS Word, PowerPoint and Excel; and data sources including Bloomberg, Reuters and FactSet
Worked as a Risk Management Consultant in a “Big 4” audit firm, advising numerous US banks, broker dealers and foreign banking organizations in areas including regulatory capital, investment compliance and data managemen
Experience in retail banking operations, including wealth management and anti-money laundering monitoring activities

PROFESSIONAL EXPERIENCE

Business Analyst

Confidential

Responsibilities:

Ensured that the investment funds offered by the firm were in compliance with the IMA guidelines, Confidential internal policies and regulatory requirements
Performed pre-trade and post-trade batch compliance on a daily basis, provided client certifications and monitored data quality through reconciliations as part of the Account Review Process
Actively communicated with portfolio managers on a daily basis and resolved any active breaches
Documented fund guidelines for new accounts based on review of IMAs and collaborated with the Legal team to resolve interpretive issues
Provided business requirements to the Operations team to code the fund guidelines into Charles River application and performed user acceptance testing to ensure that the guidelines were implemented as intended
As part of compliance investigations, researched various investments such as fixed income products, ETFs, mutual funds, stocks by using internal and external sources including Bloomberg, Factset reports etc.
Responsible for documenting reports for SEC submissions, supporting internal and external audits and maintaining an issue log
Worked on internal process optimization projects and collaborated with the Technology team to improve efficiency and reduce error rates through use of automation

Consultant

Confidential

Responsibilities:

Supported multiple Investment Management regulatory and compliance engagements for large multinational banks and asset management firms
Provided business requirements to client’s Operations teams for coding pre-trade and post-trade compliance rules in Charles River application
Performed testing of coded guidelines in “Dev” environment and helped in resolving any gaps which were identified
Supported the client in performing account reviews for the rules coded in Charles River against the IMA guidelines for Equity/Fixed Income/ETFs/Institutional client accounts
Led a team of two analysts to conduct current state assessment against US Basel III rules and assisted with creation of project plan and compliance roadmap. Was involved in documenting the rule requirements under the Standardized approach, identifying implementation gaps and prioritizing remediation activities for strategic implementation
Provided data lineage, controls assessment and documentation support as part of the Enterprise Basel Data Governance framework activities of a US FBO
Partnered with the Enterprise Capital Reporting team and upstream lines of business to document data lineage between source and target systems for credit risk, including business logic and rationale for data movement
Assisted in testing the design effectiveness of key controls across the end to end data flow
As a part of a large SIPC mandated liquidation engagement, performed reconciliation of secured and unsecured transaction records of the bank against the claims filed by the investors
Analyzed complex securities transactions to reconcile the claims from investors

Assistant Manager

Confidential

Responsibilities:

Worked as an assistant manager in one of India’s largest private sector banks and awarded “Best performing banker” at the branch
Key responsibilities involved managing retail banking operations and compliance management with focus on anti-money laundering monitoring activities and supporting internal audits

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