Dynamic Individual with hands-on experience in Client onboarding and talent for navigating challenges. Brings strong problem-solving skills and proactive approach to new tasks. Known for adaptability, creativity, and results-oriented mindset.Detail-oriented Individual with exceptional communication and project management skills. Proven ability to handle multiple tasks effectively and efficiently in fast-paced environments.
Overview
19
19
years of professional experience
1
1
Certification
Work History
Associate Director
UBS SECURITIES INDIA PVT LTD
11.2017 - Current
Client Onboarding Engagement Team lead ( India ) supporting the Equities/Equity Derivatives and Investment banking division
Responsible for supporting UBS India Sales & Trading desk for Equities/equity Derivatives, covering both domestic and international client accounts
Client onboarding for the Investment banking division
Working as a process owner / primary escalation point thereby ensuring the processes passes all quality and control reviews
Ensuring both internal and external Stakeholder expectations have been met
Manage New Client onboarding/Periodic review processes to ensure that all requests are approved in accordance with regulatory requirements/internal policies
Review background checks and evaluate negative news related to existing clients and prospects, identify red flags and ensure they are escalated in line with internal policy and procedures
Familiar with various legal entity types, understand and articulate ownership chains and organizational structures of varying complexity
Contributes/provides recommendations to the implementation of operating and administrative protocols for the KYC/AML activities
Train new and existing team members to contribute independently and function effectively as a team
Helping in developing a stable and agile team by helping align team members performance in line with requirements
Ensuring process KPI are met and handling internal and external audits like exchange/statutory audits etc
Working with IT teams for strategic solutions to improve process efficiencies
Led teams of up to 8 personnel, supervising daily performance as well as training and improvement plans.
Reviewed proposed regulatory changes and evaluated potential impacts on business operations.
Senior Analyst
BARCLAYS SECURITIES INDIA PVT LTD
04.2013 - 06.2014
Trade operations, settlement and risk management across cash equities and derivatives segments
Was single point of contact for onboarding new clients
Coordinate with clients and sales person to address all documentation requirements and trade confirmation preferences
Had to ensure that all KYC norms have been satisfied
Trade support, sales support and settlements for cash equities trades
Key responsibilities for derivatives segment include Position / Margin monitoring of Foreign Institutional Investors/ Domestic Body Corporate/ Partnership Firm / Non Residential Individual / Trading Member as per guidelines stipulated by the regulatory authorities
Reconciliation and confirmation of trades pertaining to clients as per stipulated timelines
Coordinating with the Trading member / Custodian participant of any position/margin limit violation at Member level / Custodian participant level to resolve the same
Coordinating with Exchanges & Clients for any concern relating to Trading, Risk Management and Settlement
Managing of risk while allocating limits on collateral in transit and monitoring of concentration of collateral
Develop/upgrade Back office system for delivering the required reports to the Members
Specialist
NOMURA FINANCIAL ADVISORY AND SECURITIES INDIA PVT LTD
05.2010 - 03.2013
Supporting the middle office operations in the broking business of Nomura
Oversee the smooth processing of daily securities trade, Trade allocations and generating Trade Confirmations to the client in an accurate and timely manner on Trade date
Monitor all trades and maintain static bridges to ensure smooth settlement
Send trade confirmations to custodians via platforms like NSDL, FT and NSE-IT
Send trade confirmations to clients through the mode preferred by each one of them including Omgeo
Ensure accurate and timely reporting to exchanges
Liaise with client custodians for unmatched trades and take prompt action for a timely settlement
Reconcile and investigate all front to back office breaks
Prepare and circulate detailed front office and Management MIS
Maintain static data for clients
Document process flows and create procedure manuals for functions performed
Reconciliation and Investigation of various positions and resolve Nostro breaks
Participate in system enhancement UATs from a user perspective
Regularly interacting with overseas offices to address issues related to contracting and settlement of trades of foreign clients
Continually re-assess inherent operational risks by taking into account changing external conditions, legal and regulatory requirements, operating procedures and practices and impact of new technology
Outline policies, procedures and controls and assess the control effectiveness
Perform control tests to ensure procedures are adhered
Continually seek ways to improve departmental processes and foster a proactive cost-conscious and innovative work culture
Senior Analyst
NOMURA
04.2009 - 04.2010
India FII Support Middle Office - Supporting the middle office functions for FII business of Nomura
Liasing with Traders/Treasury/Back office/Brokers/Banks and Custodian to ensure smooth settlement of trades
Reconciliations between front office trade bookings and broker confirmations in order to avoid discrepancies in Brokerage, STT etc
Send instructions via Swift to the custodian in order to facilitate smooth settlement
Coordinating with custodian and syndicate members in case of IPO/QIP
Successfully performed UAT for products like Cash equities, G-secs, T-bills, ADR/GDR etc
Conducted checkouts from middle office/settlements perspective
Also involved reporting on a daily basis the issues faced during the UAT process
Analyst
LEHMAN BROTHERS / NOMURA
07.2007 - 03.2009
Equity Middle Office (Cash Operations)- Was supporting the middle office operations in the broking business of Nomura/Lehman Brothers
Oversee the smooth processing of daily securities trade, Trade allocations and generating Trade Confirmations to the client in an accurate and timely manner on Trade date
Monitor all trades and maintain static bridges to ensure smooth settlement
Send trade confirmations to custodians via platforms like NSDL, FT and NSE-IT
Send trade confirmations to clients through the mode preferred by each one of them including Omgeo
Ensure accurate and timely reporting to exchanges
Liaise with client custodians for unmatched trades and take prompt action for a timely settlement
Reconcile and investigate all front to back office breaks
Prepare and circulate detailed front office and Management MIS
Maintain static data for clients
Document process flows and create procedure manuals for functions performed
Reconciliation and Investigation of various positions and resolve Nostro breaks
Executive
TATA CONSULTANCY SERVICES
11.2005 - 04.2006
Job profile involves online trading account opening and maintenance
Also responsible for set up and maintenance of firms standard settlement instructions
Education
Post Graduate Diploma in Management - Finance specialization
Alliance Business Academy
Bangalore
01.2006
Bachelor of Commerce -
Govt. Arts & Science College
Calicut, Kerala
01.2003
Pre Degree -
Government Arts & Science College
Calicut, Kerala
01.2000
SSLC -
St. Josephs Anglo Indian Girls High School
Calicut,Kerala
03.1998
Skills
Coaching and mentoring
Relationship building
Team collaboration and leadership
Process improvement
Onboarding and training
Client onboarding process
Problem-solving
Excellent communication
Personal Information
Date of Birth: 10/09/82
Marital Status: Married
Certification
NSE's NCFM certification in Capital Markets Dealers Module (77.5%)
NISM-Series-VII Securities Operations and Risk Management Certification Examination
Languages
English
Hindi
Malayalam
Professional Highlights
Client Onboarding /Client Due Diligence experience across various client types
Capital markets operations experience spanning across products like cash equities, equity derivatives and currency derivatives.
Reference data maintenance (Account opening/standard settlement instructions)
Timeline
Associate Director
UBS SECURITIES INDIA PVT LTD
11.2017 - Current
Senior Analyst
BARCLAYS SECURITIES INDIA PVT LTD
04.2013 - 06.2014
Specialist
NOMURA FINANCIAL ADVISORY AND SECURITIES INDIA PVT LTD
05.2010 - 03.2013
Senior Analyst
NOMURA
04.2009 - 04.2010
Analyst
LEHMAN BROTHERS / NOMURA
07.2007 - 03.2009
Executive
TATA CONSULTANCY SERVICES
11.2005 - 04.2006
Bachelor of Commerce -
Govt. Arts & Science College
Pre Degree -
Government Arts & Science College
Post Graduate Diploma in Management - Finance specialization
Alliance Business Academy
SSLC -
St. Josephs Anglo Indian Girls High School
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