Neerja Vyas

Experience

1. Portfolio Compliance Analyst

   Oracle

   Jul 2017 — Present · Mumbai, IN

   Portfolio management Compliance:• Ensuring compliance with the investor laid portfolio guidelines and regulatory requirements of Federal agencies for varied disciplines(Equity, Mutual Funds and Fixed Income) using SQL coded tags.• Issuing breaches and warnings by performing cause analysis with the account managers and portfolio managers daily for different portfolios of same mandate.• Isolating errors, at security and portfolio levels to Portfolio Managers, via Dashboard, and providing corrective actions to ensure Compliance on portfolios to meet guidelines.• Deadline driven analysis of the noteworthy changes in the portfolio with respect to market movements and executed trades.• Checking set-ups of new portfolios to be managed.• Testing rules manually for the non-coded portfolio restrictions in MS – Excel spreadsheets using advanced excel functions.• Providing final periodic certification letters to the investors on the compliance status of their portfolios on monthly, quarterly, semi-annually and annually basis with the analyzed and reported versions of the breaches in the system.• Conducts training for new hires in the team regarding Dashboard’s and Manual Tests

Education

• SIES College of Arts, Science & Commerce

  Bachelor of Commerce - BCom

  2006 — 2008

• ICFAI Distance Education

  Chartered Financial Analyst (CFA), Master's in Finance

  2011 — 2014