Bharat S.

Experience

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  AXA Financial

  Jul 2017 - Aug 2017

  Asset Management Intern
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  City University of New York-College of Staten Island

  Feb 2018 - May 2018

  Financial Trading Room Staff Member
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  UNFCU

  Oct 2018 - Dec 2018

  Consultant-Investment Services

  ♦ Identified problems and developed solutions while transitioning United Nations client accounts and brokerages in Salesforce and APEX. Ensured proper guidelines are met and investment strategies are set into place. Troubleshooted any issues with client funding and procuring missing funds lost in transition. Mastered the full lifecycle of brokerage and trust movement of client’s accounts. Determined if accounts conform with certain regulations such as OFAC sanctions and Visa/Citizenship requirements Show less

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  Morgan Stanley

  Mar 2019 - May 2019

  Consultant-Wealth Management

  ♦ Established credible measurement methods and due diligence efforts to reform high risk and high net-worth individuals’ power of attorneys according to advisory business practices. Supported client on-boarding and remediation efforts to improve front to back processes.♦ Correlated results of data sources and runs to identify areas of optimization and/or discrepancies. Conscientiously assessed and verified books and records, including scanned documents for missing data with the utmost pace and accuracy. Collaborated with Wealth Managers and Support staff to enhance data reconciliation. Improved efficiencies within data population in order to present findings Show less

• 

  UBS

  Jul 2019 - now

  ♦ Buys and sells securities to implement asset allocations for client portfolios, based on client’s investment mandates, cash needs, firm strategy changes and general rebalancing; assesses tax liabilities and client directed account restrictions to determine whether macro investment decisions are applicable on the account level; manages complex situations♦ Provides efficient and accurate implementation of new accounts, deposits, withdrawals, portfolio changes and tax-loss harvesting in Separately Managed Accounts.♦ Takes initiatives to enhance the team's investment process, research content, portfolio construction and management tools, as well as written materials, with the goal of on-going improvement to investment outcome and client experience. ♦ Creates and reviews client portfolio review presentations and portfolio risk/return analysis presentations. Enables and contributes to scalable, efficient, and disciplined professional management of multi-components portfolios for U.S. and offshore private clients Show less ♦ Was accountable for working with outside vendors as well as business and technology partners to improve the effectiveness and efficiency of our portfolio management platforms. Responsible for all Financial Advisor and Outside Money Manager advisory trading solutions. Launched multi-sleeve portfolio platform to help Financial Advisors.♦ Researched and documented functional needs in business requirements documents. Interfaces with the operations and field support groups to analyze and solve escalated platform issues. Performs and drafts business checkouts and validates changes/functional health for field platforms. ♦ Collaborated with Advisory product managers to prioritize and align platform enhancements. Diagnosed and troubleshooted multiplatform trading issues. ♦ Actively participated in status meetings with IT to review development issues and progress. Provides regular updates on progress and issues. Performs user acceptance testing for maintenance and change releases. Participated in the QA cycle and contributed towards business decisions on priority and resolution. Coordinated and reported on testing and execution efforts across technology and business partners. Show less ♦ Supported increasing and maintaining Options Overlay portfolio. Helped grow the portfolio by 50MM during a period of account conversions. Liaised with listed options desk and capital markets group to monitor different Options Overlay positions currently in place. Worked with Financial advisors to pitch overlay strategies to Ultra High Net Worth clients.♦ Assisted with account maintenance processes and engaged with various Options Overlay stakeholders around the bank. ♦ Conducted analysis, aggregated data, and created reports for use by branch supervisors, financial advisors, and home office management. Created marketing material to strategically display benefits of engaging in the Options Overlay Strategy. Show less

  • Associate Portfolio Manager - MAPS - Equities

    May 2022 - now

  • Associate Director - Digital Portfolio Management

    Oct 2019 - Apr 2022

  • Analyst- Options Overlay Strategy

    Jul 2019 - Sept 2019