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
Bangalore01.2006
Bachelor of Commerce -
Govt. Arts & Science College
Calicut, Kerala01.2003
Pre Degree -
Government Arts & Science College
Calicut, Kerala01.2000
SSLC -
St. Josephs Anglo Indian Girls High School
Calicut,Kerala03.1998
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
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