Vipul Bhatnagar

Responsible for managing a portfolio of Funds-Axis Technology client relationships in respect of regulatory reporting, ensuring delivery of a consistently high level of service to clients. Regulatory reporting consists of modules such as - AIFMD Annex IV and FormPF reporting.

Responsibilities:

• Onboarding clients and working on their NAV packs with automations team to create different files required for filing
• Support delivery of all regulatory reporting requirements to highest possible standard to clients.
• Responding to client and regulator specific queries.
• Performance of data quality checks using internal tool to ensure smooth and efficient delivery of regulatory reporting.
• Completion of relevant audits evidencing successful completion of all required checks in line with company's regulatory reporting procedures.
• Ensure highest standard of client relationship management, attending weekly and monthly calls (if applicable) and attending quarterly call-in line with Funds-Axis’ client governance policies, including periodic visits to client premises.
• Ensure delivery of excellent customer service, including evidencing using workflow management tools in line with company’s policies.
• Identifying, documenting, and raising areas of process automation or improvement with Team.
• To manage day-to-day BAU processes for an investment compliance client. Which includes the following areas:
  i. Data upload and exception investigation
  ii. Governance over successful completion of processes
  iii. Investigating compliance results
  iv. Client daily reporting via daily dashboard
  v. Daily data quality checking using internal tool
  vi. Query resolution

Worked with IVP's product RAPTOR in the domain of Regulatory Reporting. RAPTOR currently supports around 75 clients across 35 jurisdictions with over $750bn in Regulatory Asset Under Management.

RAPTOR currently support periodic filing for - AIFMD, FormPF, Form 13F, CPO-PQR, and OPERA.

Responsibilities:

Support Activities

• Provide functional support on client queries/issues during filing period.
• Provide application support on filing queries of clients.
• Coordination with Internal and Cross product Support/Dev Engineers on data gaps and issues resolution.
• Updating tickets on client queries/issues on ticketing platform for billing purposes and tracking escalations.
• Communication with clients over call/WebEx/Emails for follow up during filing.
• Managed Services - End to end filing generation & client management
• Run SQL queries to verify Positions and Transactions data.

Non Support Activities

• Assistance with New Clients Onboarding and Implementations
• Coordination with Internal/Cross Product Development Team/QA for new features/changes
• Sanity testing of application and Replication of Clients Data of Previous Quarters
• Running/Executing/Updating Test Case Scenarios
• Collating latest regulatory updates on Alternative Investment Industry for monthly Newsletter.
• Create documents like Client specific Runbook explaining customized process followed to create filing and regularly update Issue Sheets to help Dev/Implementation team in understanding technical challenges faced during filing.