Summary
Overview
Work History
Education
Skills
Certification
Software
Timeline
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Shubhangi Gupta

Senior Regulatory Reporting Analyst

Summary

Experienced Senior Regulatory Reporting Analyst with 5+ years of expertise in managing complex filings such as AIFMD Annex IV, Form PF, and CPO-PQR. Expert in regulatory compliance, data validation, and quality control. Proven ability to collaborate effectively during client onboarding to ensure seamless integration and adherence to evolving regulatory standards. Well-versed in evolving regulatory frameworks, with a strong focus on quality control and precision in reporting.

Overview

6
6
years of professional experience
3
3
Certifications
2
2
Languages

Work History

Senior Regulatory Reporting Analyst

Funds-Axis Limited
05.2021 - Current
  • Oversee AIFMD Annex IV reporting and Form PF for a portfolio of Funds-Axis clients, ensuring accurate submissions and consistently high standards of regulatory service delivery.
  • Ensure the accurate and timely delivery of all regulatory reporting obligations for an assigned client base, covering AIFMD Annex IV, Derivative Usage, and Investment Compliance, in line with regulatory and service quality standards.
  • Manage reporting responsibilities for allocated clients, ensuring high-quality and on-time submission of regulatory reports to EU authorities including CBI, FSMA, CSSF, FCA, FIN-FSA, FI, and BaFin
  • Act as a Subject Matter Expert for traditional client accounts, delivering training to team members on internal control procedures and AIFMD reporting guidelines.
  • Managed the quality control of reporting data using in-house platforms, contributing to the timely and accurate delivery of regulatory filings
  • Deliver outstanding client service, ensuring all actions are recorded and aligned with company policy via workflow tracking systems.
  • Proactively assess and recommend enhancements for process efficiency and automation, collaborating with the team to implement improvements.
  • Work closely with the tech team to build and refine the internal regulatory reporting product for Annex IV, adhering to ESMA and FCA guidelines.
  • Responding to client and regulator queries in line with Funds-Axis' SLA policies
  • Maintain top-tier client relationship management by attending weekly, monthly, and quarterly calls in line with Funds-Axis' governance policies to provide updates and gather client feedback on Annex IV filings.
  • Provide assistance in onboarding and implementing new clients according to their filing obligations and NAV packs to ensure the data is automated accurately and uploaded in system using different set of files used for completion of Annex IV Reporting.
  • Conduct reconciliation filings for new clients to verify the Funds-Axis HighWire application operates with full accuracy in compliance with ESMA regulations.
  • Proactively identify, thoroughly document, and effectively communicate process automation and improvement opportunities to the team, driving enhanced operational efficiency and compliance.
  • Consistently achieve zero late or inaccurate filings caused by Funds-Axis in every reporting cycle.
  • Utilizing expertise in regulatory reporting and resolved client issues/ queries in a smooth and efficient manner.
  • Manage the day-to-day BAU investment compliance activities that includes data uploads and exceptions investigation, investigating compliance results, Client daily reporting via daily dashboard and Query resolution.
  • Expertise in creating Standard Operating Procedures (SOPs) and tailored client documentation to support comprehensive internal cross-training programs.
  • Consistently received client appreciation for outstanding service and performance over the past three years.
  • Recognized as Best Teammate for effective team management and consistent execution of BAU activities.

Operations Analyst

Indus Valley Partners
07.2019 - 12.2020
  • Provided regulatory reporting filing support to Hedge Fund Investment Companies on various modules.
  • Managed end to end filing generation & management for multiple clients at the same time.
  • Resolved and helped client on its queries/issues on ticketing platform for billing purposes and tracking escalations.
  • Aided with New Client On-boarding and Implementations.
  • Coordinated with support/dev team on timely issues resolution.
  • Coordinated with Internal/Cross Product Development Team for on-time delivery of New features/changes.
  • Built a robust framework for running, executing, and updating Test Case Scenarios.
  • Compile the latest regulatory developments in the alternative investment industry for inclusion in the monthly newsletter and blogs.
  • Provided documentation support for workflows of every client as well as training on them along with Advanced Excel.
  • Create and maintain client-specific runbook outlining tailored filing procedures, and update issue logs to assist Development and Implementation teams in resolving technical challenges.
  • Conduct sanity testing of the application and replicate clients' data from previous quarters for validation and continuity

Education

MBA - Financial Analysis

INSTITUTE OF TECHNOLOGY & SCIENCE
Delhi, India
04.2001 -

B.Com - Commerce

CCS University
Meerut, India
04.2001 -

Skills

Regulatory Reporting

Investment Compliance

Data Analysis

Client Relationship Management

Team Collaboration

Certification

Advance Excel

Software

Advance Excel

Microsoft Office

XML Schemas

Timeline

Senior Regulatory Reporting Analyst

Funds-Axis Limited
05.2021 - Current

Operations Analyst

Indus Valley Partners
07.2019 - 12.2020

MBA - Financial Analysis

INSTITUTE OF TECHNOLOGY & SCIENCE
04.2001 -

B.Com - Commerce

CCS University
04.2001 -

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Shubhangi GuptaSenior Regulatory Reporting Analyst