Yogesh Gonkar

1.Led the migration of mutual fund processes, ensuring strict adherence to deadlines for compliance checks and timely trade submissions.

2.Managed regulatory and compliance activities for a diverse range of financial products, including equity securities, FX options, structured products, and mutual funds.

3.Conducted thorough regulatory checks for FOP (Free of Payment) transfers, ensuring compliance with industry standards and regulations.

4.Oversaw control operations related to reconciliation and maintained spread fees in derivative products, optimizing process efficiency and accuracy.

5.Generated risk reporting for securities and derivative products, providing the asset management team with actionable insights

6.1. Collaborated cross-functionally with legal, compliance, and risk teams to inform clients about stock concentration risks on assets under management (AUM), contributing to improved risk awareness and management.

• Investment Operations professional with extensive experience in handling high-value and corporate action trades
• Adept in daily activities such as buy-ins, investigating match fail trades, cancel and correction post-settlement
• Prioritizes high CSDR exposure trades and intimates the desk to cover short to increase settlement efficiency
• Ensures effective controls on risk in terms of KRI, SLA, and checklist daily
• Skilled in investigating interest claims received from claims teams and brokers due to delays in settlement
• Handling project to STP exchange auto-settlement flow in internal system

• Part of system migration for UK Crest as well as Agent clear (Swiss) and streamlining processes to manage and prioritize client requirements before the deadline
• Skilled in participating in multiple UAT testing with change management teams
• Handled sensitive parts such as C&C and position movements from one depot to another to ensure timely settlement and prioritize high-value trades
• Responsible for the settlement of matched trades (equity/stock loan) in coordination with agents and front/middle office

• Managed pre-settlement and post settlement activities for Crest Market
• Skilled in handling fails management, both match, and unmatched
• Directly interacts with traders, MO/FO to resolve trade discrepancies
• Focused on UK Gilt (Bond) and ETF trade
• Experienced in reconciliation of breaks (cash and stock)

• Experienced in corporate action processing such as Exchange Offer, Tender Offer, Spin Off, Split, Reverse Split, Bonus, Right Issue, etc
• Skilled in auditing of NAV (Net Asset Value)
• Experienced in the calculation of performance on a security level and fund level on a monthly and daily basis
• Handles portfolio manager clients to provide daily, weekly, monthly as well as quarterly performance data with their comparative benchmarks