Experience

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  Cil securities india pvt ltd

  Nov 2005 - Nov 2006

  Associate

  Customer account maintenance, support to meet KYC norms, client mappings in BSE and NSE, trade inputs and confirmations.

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  Broadridge financial solutions

  Dec 2006 - May 2023

  Process manager

  Supervising and managing the team which performs the United States securities back office operations which includes Purchase & Sales Options, DTC Settlements, Buy-Ins, Prime Broker and Fail Control areas. Operations experience listed below.- T+3 Securities settlements of the US domestic trades which settles through DTC.- Syndicate operations (Settlement) of the US domestic Certificate of Deposits (CDs).- Exception processing of Asset Transfers (ACATs) includes fail setups, settlements, Reversals and processing DTC Frozen Letters.- DTC firm balancing and researching and resolving the day to day operation’s breaks.- Contacting contra brokers (US) on DTC reclaims and resolving aged fails.- Tracking and maintaining firm’s aged fails and chasing contra brokers and internal departments like Global settlements, DTC Vault settlements, Govt. (US) settlements, Prime Brokers, Asset Transfers, REORG, Dividends and Mutual Fund department for timely settlements as part of Fail Control activities.- Issuing Buy-In intents against street and negotiating on Buy-In executions against Brokerage firms.- Reconciling Buy-In executions and submitting buy orders/sell-out tickets to Trading Desk.- Working with the departments (Purchase & Sales, Global Settlements) on rejected buy-in intents and unmatched fail setups against street.- Working on Obligations Warehouse (Settlements) activities and handling bi-weekly NSCC RECAP processing.- Associated activities of Settlements, Buy-Ins, Prime Broker and Fail control functions.- Researching on trade breaks (Options) and resolving the trade clearance issues. Working with OCC (Option Clearing Corporation) to work on the daily Option trade breaks. - Handling the Options weekly, monthly, quarterly expirations process and reconciling the option exercises and assignments.- Supporting the above listed activities for multiple BPO clients includes Barclays, Apex Clearing, E*Trade Clearing, SocGen (Societe Generale), Charles Schwab, Quest Show less

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  Broadridge india

  Sept 2022 - now

  Product manager