Summary
Overview
Work History
Education
Skills
Personal Information
Certification
Languages
Professional Highlights
Timeline
Generic

APARNA RAVIRAJ NAIR

Mumbai

Summary

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%)
  • BSE's Basic Course on Capital Markets
  • NISM-Series-VIII: Equity Derivatives Certification
  • 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
APARNA RAVIRAJ NAIR