Summary
Overview
Work History
Education
Skills
Accomplishments
Projects
Timeline
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Vaibhaw Raj

Vaibhaw Raj

Bangalore

Summary

A result oriented professional with over 7 years of experience at Northern Trust specializing in regulatory compliance and risk management. Led successful process migrations and workflow optimizations, resulting in enhanced operational efficiency. Expertise in Ms Office complemented by strong client communication skills. Demonstrated ability in managing external audits and ensuring FCA compliance, significantly minimizing operational risks.

Overview

7
7
years of professional experience

Work History

Technical Coordinator

Northern Trust
10.2023 - Current
  • Worked with London to onboard new Books and Records Procedure in line with all the control checks as per the procedure and eliminating Operational and Regulatory risk to be in line with Regulator requirement.
  • Onboarden and successfully implemented New FCA procedure to be in line with FCA regulatory requirement.
  • Handling external Auditors and Client queries. First point of contact for escalation from client and Auditors.
  • Liaising with various parties like CDM, FA, TA and Custodian
  • Reviewing Unit dealing processing with documented procedures and processes to illustrate reasonable effort of NT Depositary to comply with Unit Dealing requirements.
  • Migrated Fair Value Pricing process from London to India.
  • I carry immense knowledge of process which makes me a go to person for team members and management for complex queries.

Senior Analyst

Northern Trust
Bangalore
07.2021 - 09.2023
  • Completion of XD NAV Packs and Consolidate Reconciliation of Stock, Income, Derivative and Forward Currency Contracts on Monthly basis.
  • Trustee Invoice Preparation
  • Verification and Preparation of Distribution Payment on timely basis eliminating Regulatory and Financial risk.
  • Responsible for expense monitoring and processing of the invoices as per client SLA making sure all the validation checks are performed
  • Providing Trustee Certificate as of EX-Date of the funds to Financial Reporting Team and External Auditors.
  • Worked on process optimization projects to reduce the steps and time taken to complete Distribution payments.
  • Resolving Auditor and Financial Reporting queries by working with multiple teams within the department and working with the client.
  • Achievements/Tasks

Financial Analyst

Northern Trust
10.2018 - 12.2021
  • Experienced in Depositary operations, AIFMD and UCITS regulations.
  • Cash Flow Monitoring, Cash and Stock Reconciliation
  • Migrating NAV Oversight, Cash Flow Monitoring and Transfer Agency Oversight from guernsey and Netherlands Regions
  • Migrated manual CFM process for Netherland on Dome application
  • Achievements/Tasks

Education

B.com(Hons) - Accounts And Finance

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Bareilly
07-2016

Skills

  • Alteryx
  • DOME tool
  • Fundmaster
  • Enterprise
  • PRS
  • MS-Office
  • Power BI
  • GCM
  • Bloomberg
  • Regulatory compliance
  • Financial reconciliation
  • Risk management
  • Client communication

Accomplishments

  • Won Gold Award for migrating process from Limerick to India.
  • Won Spot award for Migrating Manual CFM to Dome.
  • Received multiple R&R rewards for being client centric.
  • Received multiple recognition for working on mergers.
  • Proven track record of maintaining 100% accuracy all the time.
  • Worked on multiple migration from home location to India.

Projects

Migrated Manual CFM process for BSG client to DOME. (11/2019), Performed TOW activities for processes like CFM ,CAR etc., Analysed TPA data for one year and concluded the reason for DOME rejection., Took initiative of seeking confirmation from clients regarding the anticipated date of cash rec files, Lead Depositary team in various sports activities., Have voluntarily prepared the GSY procedure documents which will be very handy for any partner to refer.

Timeline

Technical Coordinator

Northern Trust
10.2023 - Current

Senior Analyst

Northern Trust
07.2021 - 09.2023

Financial Analyst

Northern Trust
10.2018 - 12.2021

B.com(Hons) - Accounts And Finance

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Vaibhaw Raj