You are on page 1of 7

Interaction Design Visual Design

Wireframes &
Prototypes Colors

Business Analyst UX End


Product UI UI Designer

User Layouts
Research

Scenarios Typography
IRC Analyst: Application Usage
Compliance Knowledge: Medium  Login to application and check the IRC Dashboard to check the breaches at
Technology Traits: Low sub-fund level
Application Knowledge: Low  Go to Exception management and validate the exception using underlying
Work Experience: 2-3 yrs data (Holding, Security and Rules)
Time Spent on FW: 6-7 hrs  Mark the exceptions as invalid or valid based on underlying data
Profile: Entry Level position which requires minimum
knowledge of the application and medium level  Enter the commentary and investigation report for each exception
knowledge of the investment compliance process.  Generating exception reports for client reporting
Analyst will be responsible for first level review on  Validation of Continuous breaches
compliance breaches.

Goals: Pain-points:
 To validate the breaches report by the application  Navigation from IRC Dashboard to Exception Management
 To segregate the invalid breach and add  Getting dynamic data to validate the breach
comments on the exception management  Query any level of data from different masters
 To verify the underlying data for the valid breach  Transparency on data logics which are used for calculation of breach
 To verify the continuous breach and identify if
there are any changes to breach history
 Report the all active exceptions to IRC
Reviewer/Manager for review
IRC Manager: Application Usage
Compliance Knowledge: High  Login to application and check the IRC Dashboard to check the breaches at
Technology Traits: Medium sub-fund level
Application Knowledge: Medium  Go to Exception management and check the investigation report along with
Work Experience: 5-15 yrs. commentary for all Active and Passive Valid breaches
Time Spent on FW: 3-5 hrs Daily  Go to the pending approvals and ensure no data/master approvals are
Profile: This position requires a expert level compliance pending which could result in invalid breaches
traits and need to make sure the compliance process is
running properly.  Go the reporting tab in FundWare to generate relevant reports for the client
reporting
As an IRC Manager, user is expected to have high level of
application knowledge to ensure smooth running of
process

Goals: Pain-points:
 To ensure all the comments/investigation reports  Navigation from IRC Dashboard to Exception Management
which are to be send to the client are reviewed  Getting dynamic data to quickly review the valid exception
 All the data/master changes are reviewed  Query any level of data from different masters
 All the passive breaches are validated on periodical  Transparency on data logics which are used for calculation of breaches
basis
 Ensure all the client reporting is done on time and
reports which are to be sent to client are reviewed
 All the aged continuous breach are reviewed and
closed on time with correct commentary.
Product Controller: Application Usage
Compliance Knowledge: High  Login to application and check the IRC Dashboard to check the breaches at
Technology Traits: High sub-fund level
Application Knowledge: High  Go to Rule Library to view the specific rule
Work Experience: 5-10 yrs.
 Go to Rule configuration create new rules (core and variants), Grouping rules
Time Spent on FW: 4-5 hrs daily etc
Profile: Product Controller is responsible to ensure the
product setup is done to meet the business  Go to the Sandbox page to test the coded rules
requirements.  Go to the masters and make the changes instantaneously to the resolve
technical breaches
They also have to support the investment compliance in
resolving or investigating breaches by provide more
 Prepare monthly KPI reports
information on the rules which are coded in application.

Goals: Pain-points:
 To ensure all regulatory and internal rules are  Navigation in Rule Library (searching any specific rule)
coded in the application  Configuration of the Grouping rules and searching the correct rule filters
 To assist the compliance team in breach  Deciding the evaluated measure and relative measure as most of them are
investigation backend calculations
 To communicate master level changes to  Navigation to masters from exception management in order to make the
upstream application teams (AIP, DDM, etc) master changes instantaneously
 To raise any product level changes/improvements  Validating the exception during the sandbox test process
to FW team
 To extract any data on need basis which is
required by the client
Data Analyst: Application Usage
Compliance Knowledge: Low  Login to application and check the IRC Dashboard to check the upload issues
Technology Traits: Low at sub-fund level for the holding, NAV and Payable/Receivable file
Application Knowledge: Low  Go to repair queue to remediate the issues which are occurred during the
Work Experience: 2-3 yrs. daily upload process
Time Spent on FW: 6-7 hrs Daily  Go to different masters in case remediation of data level exception needs
Profile: Entry Level position to ensure the data inputs to master setup
the application are done properly which results in lesser
invalid breaches  Go to the NAV Tolerance Report and check whether the Upload NAV and
100% of Calculated NAV
Data Analyst will be responsible for first level review on
data level exceptions and resolving data issue.

Goals: Pain-points:
 To monitor data exceptions for any data inputs  Navigation within repair queue
which are made to the application  Navigation from Repair to Masters for setup/remediate of issues manually
 To repair any exceptions which are raised by  Query any level of data from different masters
the application during the data upload process
 To communicate the master level changes to
Product teams in-order to reduce technical
breaches
 To upload/remediate any data issues manually
on failure of auto-upload process
System Admin/Support: Application Usage
Compliance Knowledge: Low  On need basis login to application and check for the reported errors
Technology Traits: High  Go to user management to create new users/manage existing users
Application Knowledge: Low
 Go to the Role Management for managing the access rights and privileges
Work Experience: 4-5 yrs.
Time Spent on FW: 3-5 hrs Weekly
Profile: System Admin is responsible for installation of
new patches/release to SYS/UAT/PROD systems and also
to setup new user and managing the access rights for
each user

Goals: Pain-points:
 To install release to SYS/UAT/PROD  Understanding the technical errors
 To create new users and maintain the existing  Remediating the unhandled exception in the system
users
 To manage the access rights for all users in
application
 To troubleshoot any technical issues in the
system and fix the same