VAIBHAV VISHNUKANT SHAH
Summary
Results-driven compliance professional with expertise in enhancing investment guideline accuracy and operational efficiency. Led teams to automate processes and ensure regulatory adherence. Proficient in compliance systems, with strong analytical skills and effective communication, driving continuous improvement in financial services.
Overview
2
2
years of professional experience
Work History
Associate Portfolio Surveillance
Morgan Stanley
01.2023 - 08.2023
- Reviewed and coded investment guidelines for new and existing client mandates in Sentinel.
- Optimized compliance rules to enhance monitoring accuracy.
- Managed the Sentinel rule library and restricted/approved lists.
- Configured model portfolios and validated compliance rules before implementation.
- Prepared daily, monthly, and quarterly compliance reports.
- Performed account onboarding and termination in the Sentinel compliance system.
- Collaborated with Portfolio Managers, Legal, Risk, and Operations to address and resolve compliance issues.
- Supported compliance with UCITS and 1940 Act regulations.
- Completed daily compliance activities accurately and efficiently.
- Contributed to process improvements while collaborating with cross-functional teams.
Intermediate Representative Compliance and Control
BNY Mellon India
04.2021 - 12.2022
- Performed daily pre- and post-trade compliance monitoring and escalated guideline breaches.
- Coded client investment guidelines in the Aladdin compliance system.
- Prepared daily, monthly, and quarterly compliance reports.
- Managed monthly and quarterly sub-advisory reports for client and regulatory reporting.
Senior Analyst
AXA Business Services
12.2022 - 01.2023
- Coded client investment guidelines in Sentinel during account onboarding to ensure accurate mandate setup.
- Performed daily pre- and post-trade compliance monitoring and escalated guideline breaches.
- Reviewed transactions and portfolio holdings to identify and resolve compliance exceptions.
- Maintained and updated restricted and approved securities lists in the compliance system.
- Prepared compliance portfolio certifications to confirm adherence to investment guidelines.
- Managed account termination and deactivation in the Sentinel compliance system.
Education
Bachlore of Busines Administration -
Pune University
01-2019
HSC -
Kulabhushan Junior College Sambhajinagar
01-2016
SSC -
SHGS High School Nandurbar
01-2014
Skills
- Investment product knowledge
- Strong written and verbal communication
- Process automation coordination
- Ability to work in a team environment
- Leadership qualities
- Sound judgment
- Ability to work independently
- Immediate impact
Accomplishments
- Bright Beginner Award - Recognized by AXA Business Services for outstanding performance and quick adaptation during the initial phase of employment.
- Promoted to Senior Analyst at AXA Business Services in recognition of consistent high performance, domain expertise, and leadership potential.
- Successfully completed the CFA level 1 Program, demonstrating strong foundational knowledge of the global investment industry and ethical responsibilities.
- Star Performer Award - 2024, Morgan Stanley - Honored for exceptional performance, commitment to compliance excellence, and contribution to team success throughout the year.
- Best Performer Award - Got Best Performer Award for Q1 2025.
Timeline
Associate Portfolio Surveillance
Morgan Stanley
01.2023 - 08.2023
Senior Analyst
AXA Business Services
12.2022 - 01.2023
Intermediate Representative Compliance and Control
BNY Mellon India
04.2021 - 12.2022
Bachlore of Busines Administration -
Pune University
HSC -
Kulabhushan Junior College Sambhajinagar
SSC -
SHGS High School Nandurbar