Vikas Chauhan

About Vikas Chauhan

As a dedicated Compliance Associate with extensive experience in risk management, regulatory reporting and legal document review, I specialize in ensuring adherence to SEC regulations and Trust Indenture Act (TIA) compliance. With a strong background in managing compliance tickler activities, UCC filings, insurance renewals, and investment reviews, I bring a keen eye for detail and a commitment to maintaining operational excellence. My expertise includes: • Reviewing legal documents such as No Default Certificates, Arbitrage Rebate Reports and Insurance Certifications.• Collaborating with cross-functional teams to ensure compliance with regulatory standards.• Serving as a primary point of contact for external clients regarding compliance documentation. • Managing deal life cycles for debentures, bonds, and other financial instruments.I’m passionate about driving operational efficiency, mitigating risks and ensuring regulatory compliance in a dynamic financial environment. I’m always open to connecting with professionals in the compliance and risk management space to exchange insights and explore new opportunities. Let’s connect and explore how we can collaborate!

Experience

1. Associate Ii - Compliance & Regulatory Reporting

   BNY

   Apr 2025 — Present · Pune, IN

   As an Associate II, I manage complex compliance operations and lead regulatory documentation processes across U.S, EMEA, and Asia portfolios. Transitioning from a processing role to a reviewer, I now oversee fund valuations, client communication, and regulatory filings, while ensuring strict adherence to SEC, TIA, and internal policies. Fund Valuation & Compliance Monitoring•Review fund balances and allocations to ensure adherence to Trust Indenture limits. •Proactively identify shortfalls and coordinate with clients to secure additional funding when needed. Regulatory Reporting & Disclosures•Prepare and upload financial and regulatory disclosures, including annual and quarterly financial statements, rating reports, tender offers, and default notices, to EMMA. •Maintain compliance with the Trust Indenture Act (TIA) through timely submissions on the DTCC platform. Tickler & Risk Management•Track and update high-risk compliance ticklers across U.S, EMEA, and Asia portfolios. •Manage end-of-day (EOD) trackers to monitor task completion, escalate delays, and flag exceptions. Legal & Compliance Documentation•Review No Default Certificates, Arbitrage Rebate Reports, insurance certifications, and completion documents for accuracy and compliance. •Serve as the primary liaison with clients for documentation requirements and clarification. UCC & Insurance Oversight•Independently handle UCC filings, insurance renewals, investment reviews, and letters of credit to maintain up-to-date compliance. •Solely responsible for UCC expiration processing across the team. Client Engagement & Coordination•Liaise with clients for funding approvals, documentation tracking, and trust agreement requirements. •Obtain good standing documents and manage final certification deliveries. Mentorship & Collaboration•Train and support new team members on compliance processes, systems, and quality standards.

Education

• Kaveri College of Arts, Science And Commerce

  Bachelor of Business Administration

  2000 — 2018