A Balraj

As a Senior Consultant (Second Vice President) in the Alternative Asset Service, Risk and Control team, I am responsible for tracking incidents such as ASL, Red Flags, CASS Breaches, and Privacy Breaches. I analyze the root causes of these incidents and implement effective controls. Section Managers report critical incidents to me as they occur.

I perform internal and external audits across all products within the Alternative Asset category, including Unitized Funds, Funds of Hedge Funds, Bank Loans, and Private Equity. I track aged exceptions like Cash breaks and Stock breaks and follow up with the respective product managers to resolve these exceptions.

Our team conducts Risk and Control Self-Assessments (RCSA), maintains reports, and raises awareness about cyber attacks to safeguard client data.

I also have thorough knowledge of Power BI and Data Analysis and have created multiple dashboards as per management needs.

I assist Managers and Team Leads (TLs) in preparing MV ROR control reports for unitized funds and also reviewed D-PAD and and SLD documents. Also, replaced all the latest changes to be in line with current work flow.

I was driving the Change Champion projects and contributed towards sunsetting, migrated the new applications and trained my department.

I have been part of multiples system testings including NetScaler VDI, Azure VPN. Additionally, I have participated in mainframe application testing in both UAT and production environments.

- As a Technical Coordinator and one of the team heads of Operations Control, I assist team members in performing their daily BAU tasks and help resolve complex problems and aged issues.
- I conduct process training for the team, educating the analyst group on process-focused areas, transaction approvals, and fixing cash offsets.
- I correct cost OOBs, monitor DOB and Teller 3 reports, and ensure there are no exceptions for the team.

As a Senior Analyst and cluster head, I have additional responsibilities, including monitoring and assisting three other partners in the team with their daily production and activities.

- I monitor all control checks, amend corrections on overlooked procedures, and prepare reports on these activities at frequent intervals.

I have been with Northern Operating Service Private Limited (NOSPL) under Alternative Fund Service (AFS) Operations (Commingled Funds) since May 2011. Over the years, I have handled various responsibilities, including monitoring, reconciling, posting transactions, and signing off on accounting to ensure clients can access their reports.

My role requires interacting with various internal teams such as Asset Coding, Pricing, Valuation Reporting, and Client Managers (Admins). Additionally, I communicate with Fund (Investment) companies to resolve queries and ensure accurate statement reconciliation.