Pooja Sibu Gupta

• Supervised day-to-day operations to meet performance, quality and service expectations.
• Developed strong working relationships with staff, fostering a positive work environment.
• Promoted teamwork within the workplace by encouraging collaboration among staff members on various project tasks.
• Oversaw transaction reporting to ensure full compliance with post-trade regulatory requirements set by U.S. regulators.
• Validated each transaction against applicable regulatory standards within the reporting profile, ensuring 100% adherence.
• Worked with the Post-Trade Exception (PTE) team to manage exceptions, governance, and metrics for the bank’s global Combined Good-to-Trade (CGTT) reporting across 14 PTEs and 28 jurisdictions.
• Partnered with senior management to identify and implement operational efficiency opportunities, resulting in measurable time savings and process improvements.
• Managed regulatory reporting for SFTR, EMIR, QIB, and Reg S jurisdictions, directing team members to resolve exceptions promptly and accurately.
• Collaborated with technology teams and sales COOs to analyze, test, and support enhancements for new regulatory reporting requirements.

• Trade & Transaction regulatory reporting operations (SFTR)– Job Profile
• Securities Financing Transaction regulation (SFTR) is a European Regulation (ESMA) to provide transparency to regulators on secured Financing trades (SFTs) including stock loan, repo, and Buy-sell back trades.
• These trades are being reported under ESMA validation via GTRS.
• Reconciling the trades between Upstream & Downstream system (GTRS) and highlight any discrepancy to IT team & raise JIRA for the remediation of the same.
• Reconciling the trades between GTRS and repository (DTCC) to make sure that DTCC is reporting all the trades accurately to regulators.
• Raising all the issues which are creating breaks between GTRS and DTCC and raise JIRA for the remediation of the same.
• Following up with IT team on the resolution of those JIRAs and making sure all the Jira are updated on Timely manner.
• Sending EOD report of all the breaks along with actual status of all the issues pertaining to breaks to higher management.

Prime Custody Reconciliation Geneva Reconciliation Trade Management Pre-Matching

• Performed end-to-end reconciliation of Prime Custody systems on a T1 basis, ensuring 100 accuracy in trade and cash reporting.
• Produced and circulated daily break reports with variance analysis, enabling swift resolution by relevant stakeholders.
• Coordinated with internal teams to clear all breaks within SLA and maintain data integrity across multiple systems.
• Onboarded and updated new client accounts in mapping and reporting systems, ensuring seamless reporting setup.
• Verified all incoming/outgoing cash wires, FX trades, and swaps were accurately processed and reflected in client accounts.
• Liaised with account managers and client representatives to align client records with internal systems.
• Oversaw client cash and stock movement across multiple accounts, ensuring timely settlement.
• Transitioned Geneva reconciliation processes from Brooklyn and Bangalore to Mumbai, ensuring knowledge transfer with zero disruptions.
• Delivered accurate daily portfolio reports covering cash activity, positions, P&L, and cash forecasts.
• Investigated and resolved daily breaks between client books and Geneva, booking adjustments as required.
• Ensured accurate corporate action processing in client portfolios and resolved ad-hoc client reporting requests.
• Conducted root cause analysis of breaks and collaborated with Geneva Tech teams for permanent fixes.
• Created and updated Standard Operating Procedures (SOPs) for transitioned processes to maintain consistency and compliance.
• Monitored trade flow through internal systems to ensure timely settlement in the market.
• Resolved stuck trades by investigating causes and collaborating with client-facing teams.
• Manually booked and amended trades as per client requests, ensuring settlement deadlines were met.
• Identified and corrected position breaks, improving reporting accuracy and reducing client queries.
• Pre-matched trades on S-1 and value date to eliminate risk of buy-ins, fines, and settlement failures.
• Coordinated with static data teams to maintain accurate security and broker settlement instructions in all systems.
• Escalated trade discrepancies to clients on T+1 and achieved timely resolution for smooth settlements.
• Collaborated with brokers and settlement teams to ensure accurate processing of high-value and FX trades.
• Provided senior management with daily updates on high-risk items and settlement status.
• Developed standard procedures for trade pair-offs, enabling efficient settlement and reduced operational risk.