SWARUPA B T
Bangalore
Summary
Seeking a position to utilize my skills and abilities in the Financial Management Industry that offers professional growth while being resourceful, Innovative, and flexible. Motivated Assistant manager with six years of experience juggling multiple priorities to keep company running smoothly. Communicative team leader possessing outstanding time management and documentation abilities. Polished in overseeing employee performance and guiding and motivating new talent.
Overview
14
14
years of professional experience
Work History
Assistant Manager
HSBC EDPI GBM
Bangalore
02.2018 - Current
- Internal affiliates, Client, Cash, Corporate and Repo Trade Confirmations
- Monitor Repair queues, Outbound Trade confirmation
- Pre matching of Treasury trades in GSCC and Corporate bonds on RTTM, SSI set up requests for STP matching of trades
- Trade and position Reconciliation with Front Office & back office
- Address recon breaks from accounting and settlement reconciliation end with respect to collateral and OTC trade booking
- Reprice resolution processing, instructing, and monitoring payments and receipts
- Manual OTC, Collateral, FX & JME booking in Back Office and fixing repairs
- Processing and reviewing of loans in TREATS
- Manual payments to client via MPA (GMG & GPS), Monitoring of Payments
- Regular reporting of Non-Dollar funding values to local settlements & cash management teams
- Trade Capture and validation of Input by the desk, MO team and escalating issues appropriately
- Addressing Ad hoc and Audit queries from settlements, Onshore, Product Control, audit, and Reconciliation
- Regulatory reporting on transactional activity to FINRA
- Fixing IT issues by escalating to IT team on any deviations
- Liaising with clients, brokers / counterparties and other internal support functions for smooth settlement of trades
Specialist
State Street HCL
03.2016 - 09.2017
- DTC, FED, LATAM market Fixed Income and Equity Confirmations and Settlements
- Liasson with Client, Broker, Custody, Trade Support, Trade Reconciliation and Onshore team for trade queries
- Fails Management of Fixed Income & Equity
- Same Day & Future Trade settlements
- Pre matching of FI & Equity securities for LATAM markets as LATAM markets trades are sensitive to OD Claims
- Reporting to oversight for Escalations on trade mismatch
- 5 MN Treasury trades, reports generation, follow up with broker and custody for pending trades
- Queries handling
- SPLITS & PARTIALS, custody notifications regard positions availability whereas trades booked in different market, follow-ups with broker and custody for entire trade block regards positions availability and to amend the trades with broker to get trades settled without any delay and hassle free
- Instructing custody for bond movements & splits
- Handling breaks rose from reconciliation team & action to resolve the same asap
- BUY-IN & SELL-OUT report notifications from broker and custody and acknowledging
- Corporate Action, Mergers, Stock Term, Cash Term, Security Change, Dividend, Splits
- Email Management, assigning mails and reports to respective team members and queries handling.
Deputy Manager
Kotak Securities Ltd
10.2014 - 02.2016
- Provide Pre trade confirmation to client and Order Placement into exchange for Equity, Derivative, Forex, Debts, IPO
- Risk Management of collaterals during shortage of margins required for open positions
- Research advice communication to clients
- Compute accounting statements and STT reports for Clients to file their Income returns
- Updating Corporate action on client holdings
- Pay in and Payout of funds between Clients Trading account and Bank Account
- Branch Back-office operations, Good Rap with client base, bound to Compliance Norms.
Relationship Manager
Sharekhan Ltd
12.2024 - 10.2014
- Provide Pre trade confirmation to client and Order Placement into exchange for Equity, Derivative, Forex, Debts, IPO
- Risk Management of collaterals during shortage of margins required for open positions
- Research advice communication to clients
- Compute accounting statements and STT reports for Clients to file their Income returns
- Updating Corporate action on client holdings
- Pay in and Pay-out of funds with client instructions
- Branch Back-office operations, Good Rap with client base, bound to Compliance Norms.
Senior Relationship Manager
ICICI SECURITIES
04.2010 - 02.2012
- Sourcing Demat and trading accounts
- Based on Risk profiling recommending clients and involve in distribution of Wealth products like Equity, Debentures, Mutual Funds, PMS, Private Equity, Insurance, Structured products, Fixed Income, Home loans for Future Corpus & Wealth Management
- Enrolling customers for Fundamental Analysis, Technical Analysis Programmes
- Giving Research recommendations on Equity, Mutual funds, Back Office Operations.
Education
MBA -
VTU, JSSCMS, Mysore
01.2009
BBM -
UNIVERSITY OF MYSORE, MMSBMC
01.2006
Skills
- Proactive
- Initiative
- Prioritizations
- Time management
- Decision making
- Self-motivated
- Enthusiastic
- Committed
- Operations Management
- Task Delegation
- Team motivation
- Employee engagement
- Orientating and training
Accomplishments
Star Performer
Successfully migrated Fixed Income confirmations and settlements Ops, State Street HCL.
Alternate Email
swaru.bt@rediffmail.com
Career Front
Professional with 12+ years of Experience in Fixed Income Operations, REPO, Equity confirmations & settlements, Pre matching, Manual Payments, Trade Support, Position and Trade Reconciliation, Trade Capture, Trade booking and Collaterals, Corporate Actions, RISK Management. Currently working in HSBC EDPI GBM, as Assistant Manager, Bangalore. Prior work experience with State Street HCL Services Ltd, Kotak Securities, Sharekhan and ICICI Securities.
Professional Statement
Seeking a position to utilize my skills and abilities in the Financial Management Industry that offers professional growth while being resourceful, Innovative, and flexible.
Personal Information
- Father's Name: Mr. Thippeswamy BT
- Date of Birth: 06/01/1986
- Gender: Male
- Marital Status: Married
Disclaimer
I hereby declare that the information provided above is true to the best of my knowledge
Timeline
Relationship Manager
Sharekhan Ltd
12.2024 - 10.2014
Assistant Manager
HSBC EDPI GBM
02.2018 - Current
Specialist
State Street HCL
03.2016 - 09.2017
Deputy Manager
Kotak Securities Ltd
10.2014 - 02.2016
Senior Relationship Manager
ICICI SECURITIES
04.2010 - 02.2012
MBA -
VTU, JSSCMS, Mysore
BBM -
UNIVERSITY OF MYSORE, MMSBMC
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