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Senior Associate, Trade Reporting
Operational Risk and Controls professional specializing in MiFID-II, EMIR, and SEC regulatory reporting and automated control testing.
IndiaSenior Associate, Trade Reporting at Morgan Stanley
Performed root-cause analysis on SEC, EMIR, and MiFID reporting exceptions and ensured MiFID II compliance by reconciling commodity exposures across major exchanges. Maintained daily monitoring and remediation for up to 200 trade reporting exceptions, achieving a 99.5% error resolution rate and supporting audit readiness.
MiFID IISEC ReportingEMIR ReportingTrade Reporting Exception ManagementUnaVistaCommodity Position ReportingRoot Cause AnalysisRegulatory ComplianceAudit Readiness
Owned end-to-end MiFID-II client reporting (Ex-post, Ex-Ante, Fee Schedule) across 2,000+ EMEA accounts and delivered 100% deadline compliance across reporting cycles. Automated controls workflows to reduce annual manual review time by 93% (72 to 5 hours) and recovered $1.2M in unbilled fees and reversals through root-cause analysis and remediation.
Pursuing a Bachelor of Laws (LLB) across Jitendra Chauhan College of Law and Mithibai College, expected to complete in 2027.
Pursuing a Bachelor of Laws (LLB) across Jitendra Chauhan College of Law and Mithibai College, expected to complete in 2027.
Pursuing a Master of Arts in Economics at Indira Gandhi National Open University (IGNOU), expected to complete in 2027.
Pursuing a Master of Arts in Economics at Indira Gandhi National Open University (IGNOU), expected to complete in 2027.
Studied for a Bachelor of Commerce in Banking & Insurance at M.M.K. College of Commerce & Economics starting in 2018.
Studied for a Bachelor of Commerce in Banking & Insurance at M.M.K. College of Commerce & Economics starting in 2018.
Gap RemediationUAT and Process Flows
Managed onboarding, maintenance, and billing for ~70,000 investment accounts while ensuring regulatory compliance across equities, ETFs, mutual funds, and MSA products. Partnered with RPA developers to automate two end-to-end processes, cutting manual review time by 70% and eliminating 768+ hours of manual effort annually.
Investment OperationsBilling and Dealer Fee CalculationsRegulatory ComplianceMorningstar DirectSOP DevelopmentData IntegrityClient Reporting
Prepared working papers including trial balances and financial statements and handled bank reconciliation summaries. Managed GST return filing, vouching, supply-related accounting, and vendor and inventory management to support monthly accounting close.
Trial BalancesFinancial StatementsBank ReconciliationGST FilingsVouching and AccountingVendor ManagementInventory ManagementFinancial Documentation
Prepared financial statements, trial balances, and bank reconciliations for a portfolio of clients. Filed GST and TDS returns and supported clients during income tax scrutiny assessments through data gathering and client communications.
Financial StatementsTrial BalancesBank ReconciliationTax Scrutiny SupportClient Communication
Profile sourced from Himalayas.