Aniket Pagey
Client Onboarding Specialist
Pune
Summary
An ambitious, meticulous & forward-thinking Banking Operations Specialist with 7+ years of extensive experience across multiple functions - trading operations ( middle & back office), investment operations and client onboarding operations and working relentlessly towards progressing into the AML/CFT domain.
Overview
8
8
years of professional experience
3
3
years of post-secondary education
1
1
Certification
Work History
Client Onboarding Specialist
UBS Wealth Management (Formerly Credit Suisse)
04.2024 - Current
- Client Due Diligence (CDD) for high & ultra high net-worth clients of the Australian Wealth Management business of the bank.
- CDD includes verification of client's KYC documents, account opening documents & FATCA-CRS documents (wherever applicable).
- Perform negative news screening as per bank's policies to identify any PEPs or high risk individuals/companies and escalate, if any, to the front office, PEP desk and Financial Crime Prevention team.
- Facilitated seamless onboarding of new clients by ensuring compliance with KYC regulations in over 95% of cases; collaborated closely with front office teams to promptly address any discrepancies that arose during verification.
Trading Services Specialist
Credit Suisse Securities
12.2020 - 04.2024
- Allocation & Confirmation of cash equity and cash bond trades manually and over DTCC CTM platform.
- Executed account onboarding/offboarding processes for 100+ investment banking clients in the APAC region, ensuring compliance with regulatory requirements while enhancing inter-team collaborations among front office, client connectivity and reference data teams.
- Spearheaded multiple front office initiated inter-entity migration projects to migrate clients from EMEA & AMER regions to APAC.
- Collaborated closely with the APAC Credit Desk COO to design and implement a streamlined onboarding workflow for high-risk clients, decreasing client onboarding time by 30% while avoiding regulatory penalties.
- Proposed and implemented trade allocation automation tool which reduced manual effort and processing time by 90%.
Investment Operations Associate
Northern Trust
11.2019 - 12.2020
- Confirmation & Affirmation of Repo transactions with brokers.
- Manually verified and released 100+ SWIFT instructions on a daily basis to multiple custodian banks for time settlement of the Repo transactions.
- Facilitated in posting high value transactions (valued in the range of USD 100 million to 300 million) in the back-office system to reflect on client's cash projections and profit & loss statements.
- Published daily reports of pending/failed transactions to clients and internal stakeholders.
Trading Operations Analyst
Wipro Limited
05.2017 - 09.2019
- Settlement of cash equity trades on CCASS, Hong Kong Stock Exchange (HKEX).
- Managed delivery of shares to the stock exchange to avoid any regulatory penalties.
- Payment of stamp duty levied on OTC & ETF trades by the Internal Revenue Department, HK.
- Item-level reconciliation of depot and nostro breaks, and segregation/classification to meet with the CASS requirements laid out by the FCA, UK.
- Gained hands-on experience with SWIFT message categories including MT102, MT202, and MT54x series.
Education
Bachelor of Commerce - Banking And Finance
Jagran Lakecity University
Bhopal, India 08.2013 - 06.2016
Skills
Certification
Certified Anti-Money Laundering Specialist (CAMS) - ACAMS
Timeline
Certified Anti-Money Laundering Specialist (CAMS) - ACAMS
10-2024
Client Onboarding Specialist
UBS Wealth Management (Formerly Credit Suisse)
04.2024 - Current
Trading Services Specialist
Credit Suisse Securities
12.2020 - 04.2024
Investment Operations Associate
Northern Trust
11.2019 - 12.2020
Trading Operations Analyst
Wipro Limited
05.2017 - 09.2019
Bachelor of Commerce - Banking And Finance
Jagran Lakecity University
08.2013 - 06.2016
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