Vishal Singh
Thane
Summary
Dynamic Professional with 17 years of extensive experience in product management and investment compliance, delivering impactful solutions across diverse client needs. Expertise in managing complex compliance platforms and mentoring teams to enhance coding and reporting methodologies. Proficient in leveraging analytical skills to navigate regulatory frameworks, ensuring adherence in global markets. Strong capabilities in optimizing processes and driving operational efficiency through advanced tools and techniques. Committed to fostering team development and achieving organizational objectives through effective leadership and strategic insight.
Overview
18
18
years of professional experience
Work History
Sr. Associate (AVP - IIS - Prod Dev)
JP Morgan Chase & Co.
07.2017 - Current
- Development and Maintenance of Investment Compliance platform (TRAC).
- IMA/Prospectus/SAI reading, rule analysis and coding (including regulatory framework) for various clients across all regions (U.S., EMEA, APAC).
- Developed Counterparty Credit Exposure Reports (PCE and DSE reports for APAC Clients) - "First ever report created on JPMC Investment Compliance Platform"
- Servicing Client with different ideas and accurate reporting tactics to provide active and proactive solutions to their requirements
- Promoted and led performance enhancement culture by actively coaching and mentoring analysts and associates.
Assistant Manager - Investment Compliance
State Street Corporate Services
07.2016 - 06.2017
- Client reporting (Investment Compliance) for US and Canadian Clients, including Guideline coding on MIG platform from Prospectus and SAI based on Investment Company (1940) Act, IRC, 2A-7, CFTC.
- Mentoring/training associates and senior associates on investment compliance coding and reporting methodologies.
Team Lead - Global Risk Solutions (P&RA)
BNY Mellon
04.2014 - 06.2016
- Handling teams of Investment Compliance and Indices.
- Deciding upon development goals, Training modules and process development for the team.
- Maintaining all MIS reports and records including Administrative role e.g., Performance appraisal, monthly one-on-ones, team meetings, work allocation etc.
Senior Analyst, Global Risk Solutions (P&RA)
BNY Mellon
12.2012 - 03.2014
- Functions Performed: Investment Compliance, Analytics and Indexes
- Transitioned multiple investment clients as an SME across all regions (U.S., EMEA, APAC).
- Helping team, Team lead and Managers in preparation of Risk audit by carrying out internal audit throughout the process.
- Imparting training to associates on various sub-processes, systems and applications.
- Involved in UDT, UAT and different data mining activities alongside onshore BAs.
- Client servicing and dealing with Consultants, RMs and Clients.
Analyst - Global Risk Solutions (P&RA)
BNY Mellon
04.2011 - 11.2012
- Quality Check of the tasks performed by other associates in different sub-processes e.g., Investment Compliance, Indexes and Analytics.
- Investment Compliance production, report generation, guideline creation and editing work for US, Canada and APAC Clients.
Ops Executive - Global Risk Solutions (P&RA)
BNY Mellon
09.2007 - 03.2011
- Processing of Equity and Fixed Income portfolio and verification of FM data sing system prices, Bloomberg etc. and making them available to internal as well as external Clients for their further use.
- Evaluating investment style and fund structure and providing performance report by analyzing client portfolios and its analytics.
- Researching Index data and updating them for client use.
Education
PGDBM - Finance
Pune University
Pune, India07.2007
Bachelor of Science -
V.B.S. Purvanchal University
Varanasi, India01.2005
HSC - U.P. board
Harishchandra IM College
01.2001
SSC - CBSE board
Central Hindu School
01.1997
Skills
- Product Development
- Product Management
- Investment Compliance
- Mentoring
- Process Development
- Client Reporting and Servicing
- Microsoft Office
- Data Analysis
Timeline
Sr. Associate (AVP - IIS - Prod Dev)
JP Morgan Chase & Co.
07.2017 - Current
Assistant Manager - Investment Compliance
State Street Corporate Services
07.2016 - 06.2017
Team Lead - Global Risk Solutions (P&RA)
BNY Mellon
04.2014 - 06.2016
Senior Analyst, Global Risk Solutions (P&RA)
BNY Mellon
12.2012 - 03.2014
Analyst - Global Risk Solutions (P&RA)
BNY Mellon
04.2011 - 11.2012
Ops Executive - Global Risk Solutions (P&RA)
BNY Mellon
09.2007 - 03.2011
HSC - U.P. board
Harishchandra IM College
PGDBM - Finance
Pune University
Bachelor of Science -
V.B.S. Purvanchal University
SSC - CBSE board
Central Hindu School
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