VIRAL GALA

Compliance & Regulatory Reporting

• Delivered compliance and regulatory reporting solutions, ensuring alignment with global standards (SEC, UCITS, 40 Act) and fund obligations.
• Advised clients on best practices for fund financial statements, regulatory disclosures, and custom compliance reports across clients’ Front, Middle, and Back Office teams.
• Partnered with Compliance and Risk teams to implement reporting controls and strengthen audit readiness.

Trading & OMS Solutions

• Collaborated with clients and internal stakeholders to design and enhance reporting within Order & Execution Management Systems (OEMS/OMS).
• Supported trading desks and portfolio managers by building custom fields, calculations, and dashboards for trade flow transparency and investment decision-making.
• Developed fund-specific reporting logic using Java/JavaScript scripting for compliance checks and tailored client needs.

Client Engagement & Cross-Functional Liaison

• Acted as the primary liaison between clients’ Front, Middle, and Back Office teams, ensuring smooth communication of business and technical requirements.
• Partnered with Operations and Technology teams to deliver accurate trade lifecycle, performance, and risk reporting.
• Ensured reporting solutions aligned with investment objectives and regulatory standards.

Stakeholder & Team Leadership

• Led and mentored a team of 12 members, ensuring efficient work allocation, quality delivery, and continuous professional growth.
• Managed relationships with COOs, CIOs, Portfolio Managers, and Operations teams, addressing complex reporting and compliance needs.
• Drove strategic initiatives and cross-functional projects to enhance reporting efficiency and compliance-driven service delivery.

Internal Audit

• Performed daily internal audit checks on reporting workflows and compliance processes; prepared weekly reports for senior management to highlight gaps, risks, and remediation actions.

*Key Achievements*

• Set up the US region reporting team with a strong focus on Compliance and Regulatory Reporting, ensuring smooth client coverage.
• Standardize Rules and Reporting Suite, resulting in consistent outputs and significantly faster client onboarding.
• Scaled the reporting team from 4 to 12 members, enhancing delivery capacity, stakeholder coverage, and operational efficiency.
• Updated Pre-Trade Algorithms in collaboration with Product Development and BA teams, highlighting risks and limitations, and ensuring algorithms were aligned with compliance and trading objectives.
• Successfully cleared SOC 1 Audit with no major findings, demonstrating strong governance, internal controls, and compliance readiness.

• Manage live Cash & Stock Collateral processes, execute securities lending/borrowing, and calculate daily exposures to optimise portfolio performance and mitigate risk.
• Verify trades, calculate collateral for T-0 and T+1-day trades, and collaborate with traders and the trading desk to ensure accurate processing and timely adjustments.
• Generate Pre-Pay reports, monitor system errors, and resolve discrepancies, ensuring seamless trade flow and addressing ad-hoc queries like cash pool differences.

• Cultivate relationships with High-Net-Worth Individuals (HNIs) and wealth clients, manage regulatory reporting, and coordinate with banks, auditors, and stakeholders.
• Oversee Pay In/Pay Out processes, conduct settlement activities, and ensure smooth transactions while addressing queries and providing support to branches.
• Reconcile cash and securities accounts daily, ensuring accuracy and compliance with settlements, corporate actions, and dividends, using internal software.

• Manage operations to meet business objectives, ensuring smooth execution of client projects while handling insurance processes and market fluctuations.
• Analyse transactions for accuracy and compliance, generate MIS reports for top management, and identify operational gaps for process improvements.
• Uphold exceptional customer service standards by resolving issues promptly and prioritising customer satisfaction.