Shivani Negi
Noida
Summary
Experienced Regulatory Reporting Analyst with over 8 years of expertise, currently working with S & P Global. Proficient in managing a wide range of regulations including MiFID, EMIR, CFTC, Canada, ASIC, FINFRAG, HKMA, SFTR, JFSA, and MAS. Skilled in trade submissions to leading trade repositories such as Unavista, DTCC, and Regis TR. Well-versed in handling various back reporting, seeding, and trade reporting exit projects. Strong analytical skills with expertise in regulatory submissions, exception handling, SQL, data analysis, trade investigation, transaction and position reporting, and user acceptance testing. Additionally, possess experience in the Services and Insurance (BFSI) domain, specializing in Investment Banking and Backend Operations, KYC, Anti-Money Laundering (AML), Data Reconciliation, Sanctions, MIS, Trade Settlements, and Fixed Income Assets.
Overview
5
5
years of professional experience
1
1
Certification
Work History
Specialist
S & P Global
Noida
08.2024 - Current
- Identify and analyze regulatory requirements related to Transaction and Position Reporting across multiple regimes, including EMIR, MiFID II, ASIC, Dodd-Frank, CFTC, MAS, HKMA, and SFTR
- Provide expert assistance to clients on their regulatory reporting inquiries, ensuring compliance with the relevant regulations and guidelines
- Extensive hands-on experience in exception management (NACKs), change management, accuracy testing, and user acceptance testing (UAT)
- Collaborate with Global Trade Repositories (GTRs) to resolve any issues in clients' reporting workflows, ensuring timely and accurate reporting
- Contribute to the successful implementation of the EMIR Refit, including data gathering, UAT testing, change management, and preparation of Business Requirements Documents (BRCs) and Functional Requirements Documents (FRDs)
- Monitor and manage client query queues, efficiently diagnosing and resolving exceptions or errors while working with internal teams to ensure prompt issue resolution
- Conduct thorough investigations of transactions and positions, applying the appropriate decision-making processes in line with regulatory requirements
- Proficient in utilizing tools such as MarkitWire, DMS Portal, and Bloomberg to support reporting and data analysis activities
- Focus on process enhancements and UAT testing across various platforms, driving improvements in reporting and operational efficiency
- Gain hands-on experience with a broad range of financial products, including Equities, Credit, Rates, OTC Derivatives, and FX, to ensure compliance with relevant regulatory frameworks
BA4 Analyst
Barclays
Noida
03.2023 - 12.2023
- Scan client Contracts and transferring data from source systems to downstream systems
- Comply with data integrity and security policies
- Sort and organize contracts and KYC evidence after entering data to ensure it is not lost
- Understanding of rules, their interpretations, and assumptions around regulatory requirements in Transaction & Position Reporting (CFTC, EMIR, ASIC, MAS etc.)
- Direct interaction with MarkitSERV Clients globally to resolve Reporting errors or exceptions
- Ensure input of accurate client static data / profile configurations
- Assist clients with clearing of OTC derivative trades
- Monitor client queries, investigate and troubleshoot errors and work with internal groups to provide resolution
- Engage with stakeholders about regulatory changes and analyze their impact on Transaction and position reporting
- Investigate root cause in the reporting flow using internal applications and ensure non-repeat of errors
- Identify areas for process improvement / efficiency, and drive process enhancements
- Respond to client requests by providing detailed analysis and feedback
- Work closely with internal teams for system enhancements
- Configure the product as per client’s requirement with regards to trade reporting requirements
- Perform testing and provide troubleshooting for the client to configure the product as per the requirements of the participant in the UAT
- Understanding of data confidentiality principles is mandatory
- Good understanding of reporting requirements for MIFID, EMIR, ASIC etc
Team Developer
Ba Continuum India Pvt Ltd
Gurugram
12.2019 - 07.2022
- Responsible for Trade Narrations and timely settlement of trades-value date failing trades, trade reconciliation, and Depot Management functions across CREST and DOMESTIC EUROCLEAR markets
- Responsible for clearing items on a daily basis in accounting reports and giving analysis to clients
- Reporting of operational and trading exposures to clients
- Ensure Depot transfer requests are entered into the system and are settled on time by liaising with Custodian, and Client Services
- Implementing process improvement and update documentation (SOPs) to increase the efficiency and accuracy of the team
- Regulatory reporting responsibilities and reconciliation
- Strong knowledge of Capital Markets Domain/Investment products/Trade life cycle management
- Liaising on a call with different Asset management and investment banking companies to resolve breaks and trade discrepancies
- Recognized by management for new client onboarding projects delivering outstanding 110% of Trade clearing without OFAC and Sanction liabilities and 0.5% error rate
- Recognized by management for Time management/ Team handling behavior leading to increased 150% productivity in High Market Fluctuation
Education
MBA - Finance
GGSIPU
New Delhi, DL07-2016
Skills
- MarkitWire
- AWS
- SQL Server
- Trade Settlement
- JIRA
- EMIR
- MiFID II
- CFTC
- MAS
- SFTR
- ASIC
- Regulatory Reporting
- Credit
- Trade Suport
Certification
- Level 5 (NSE Module)
- Investment Analysis and portfolio Management module
- Certification in Capital Market Module
- Certification in Equity Derivatives Module
- Regulatory Framework in security market
Technicalskills
MarkitWire, AWS, SQL, Excel, JIRA, EMIR, MiFID II, Dodd-Frank, CFTC, MAS, HKMA, SFTR, ASIC, Equities, Credit, Rates, OTC Derivatives, FX
Timeline
Specialist
S & P Global
08.2024 - Current
BA4 Analyst
Barclays
03.2023 - 12.2023
Team Developer
Ba Continuum India Pvt Ltd
12.2019 - 07.2022
MBA - Finance
GGSIPU
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