Dec 2020 – Mar 2022 · 1 yr 3 mos

Dec 2019 – Dec 2020 · 1 yr

Jun 2017 – Dec 2019 · 2 yrs 6 mos

• Currently engaged in capturing all the newly issued deals in the database with reference data of bond information on a real time basis.(BRD)
• Analyzing the financial aspects of Prospectus & Final Terms of the Notes(Bonds) to be issued in the markets or to the institutional investors.
• Support new deal set-up, data capture (e.g., amendments), lifecycle data maintenance, and data quality assurance.
• Screening of public documents to identify relevant information & investigate its implications on debts issued.
• The area of focus are the newly issued fixed market instruments that includes the treasury issues, corporate,government and federal bonds covering almost all the major economies of the world.
• Provide the bond data to the clients as per set standard packages.
• Expanding the coverage of the new issuances happening across the global through regular research and identifying underwriters, syndicates participating in the new issuances.
• Extensive use of SQL in order to ensure the data warehouse has the most upto date information.
• Work with the development team to make enhancements in the existing systems and tools.

Apr 2016 – Apr 2017 · 1 yr · New Delhi Area, India

• Understanding and delivering brokerage solutions to various clients pertaining to Corporate Actions - Dividends and P&I Payments.
• Working on information about client entitlements, accepting and acting on their instructions, and collecting, allocating, and reporting payments across various corporate action event types, including distributions, redemptions, and reorganizations.
• Distributions of cash and stock dividends, principal and interest, capital gain distributions, return of capital, spin-offs, stock splits, Dividend Reinvestment Program (DRIP) and other events.
• Redemptions of full and partial calls, final paydowns, maturities, full and partial pre-refundings, partial defeasances, terminations, and other events.
• Working on Fail to Deliver and Receives for US & Canadian Market.
• Reconciliation of Cash and stock breaks of Stocks.
• Resolving all P & L reconciliation/ General Ledger breaks arising from corporate actions entitlement posting of internal cash ledger.
• Responsible for the proper distributions of corporate income received from DTCC or CDS to the brokerage accounts of clients who are eligible to receive the distributions.
• Handling payment of Bonds and Interest by particular systems.
• Researching on Stock record differences between clients.
• Resolving breaks pertaining to corporate actions & Re-org in securities.
• Cater client deliverable is in accordance to agreed SLA.
• Ensure proper functioning of the team and cater to organizational practices.
• Ensure all incidents are reported in an accurate and timely manner through the agreed framework and work extensively with the business line to ensure robust remediation plans which are implemented on a timely basis.

May 2012 – Apr 2016 · 3 yrs 11 mos · Gurgaon, India

• Currently responsible for managing and developing a team engaged in Fixed Income/Equities Operations of Investment banking.
• Supporting front office team of Bank of America Merrill Lynch Investment Banking branch by supporting KYC/AML check for every new relationship acquired.
• Perform CIP (Client Identification Policy) and know your client checks on new clients in accordance with firm?s policies, standards and procedures
• Refresh data and documentation for existing clients on an ongoing basis including at periodic reviews
• Update firm systems and databases with information / documentation obtained from clients
• Handle inquiries and ad hoc requests from internal clients including Compliance where required
• Dealing with Prime Brokerage Agreement document between an organization acting as Prime Broker and Bank of America, Merrill Lynch as Executing Broker and collecting document from prime broker as Form 1 to schedule A.
• To work with the Corporate Tax Compliance and Counterparties, to collect corporate tax documents (W9/W8s) and analyze, validate and implement in our records. Part of FATCA migration team.
• Managing and ensuring compliance with Corporate Tax Regulations including procurement and validation processes and procedures, and FATCA classification and related AML/KYC regulatory and policy requirements.
• Research and Identification of QIB document or private placement securities and working with front office and Dealogic/Markit to get the document from Client.
• Monitoring and controlling reputational and other risks by conducting Due Diligence on prospective clients.
• Work around identifying and developing process improvement ideas to increase the efficiency and output of the team. Part of the project team that is working to reduce the no. of trading restrictions on FI/Equities accounts
• Monthly and weekly MIS and Dashboard preparation for the process. Create standard operating procedure. Regular interaction with the client.