Fredy Francis Dias

• Middle Office – Global Custody Middle Office Broker facing and Settlements (Jan-2016 till date)
• Experience in EMEA especially T2S markets, Euro clear, DTC and LATAM markets.
• Proficient in resolving trade mismatches, missing instructions, and failed trades caused by stock shortages through proactive engagement with counterparties.
• Expertise in handling client and counterparty queries related to cross-border trades.
• Collaborate effectively with agent banks, regional markets, and brokers to ensure timely trade settlements on value date.
• Managing Global Custody clients & ensuring that all the activities involved are completed on time.
• Enhancing the Swift formats received from the market and passing it to client.
• Perform pre-matching of equity and bond trades on SD-1, ensuring accuracy and minimizing settlement risks.
• Oversee settlement of value date and failed trades, ensuring timely execution and resolution.
• Communicate regularly with stakeholders such as brokers, clients and consistent follow up on the status of failed trades.
• Work closely with lending teams to cover short positions arising from firm shortfalls.
• Conduct root cause analysis to improve Straight-Through Processing (STP) rates and reduce recurring client issues.
• Develop and nurture strong relationships with client operations and middle office teams to enhance communication and streamline processes.
• Hands on experience and extensive know-how of globally used IB applications like CSW and market applications like EASYWAY and XACT.
• Collaborate with internal teams across trade processing, pre-matching, settlements, cash processing, account opening, and asset servicing to ensure smooth transaction flow and timely query resolution.
• Manage escalations for priority clients, oversee team activities, and organize training sessions for new joiners to enhance team performance.
• Work closely with the technology team to identify and implement strategic solutions for areas requiring manual intervention, improving process efficiency.

Fund Services (11-May till Dec-2015)
Timely and accurate booking of Trade Captured.
Processing and validating various financial instruments like bonds, equities into accounting system.
Maintaining the client portfolio during the transition.
Reconciliation Services – Forward Fx position Vs Client Statement.
Ensure all of the Market Values extracted from the valuation system and are in line with third party valuations.
Monitor interface platform (Instruction management) for any failed swift instruction.

• Understanding how relationship and negotiations are initiated.
• The role of exchanges and financial intermediaries.
• Analyzing various parameters taken into account before deciding to invest, the kind of returns any investor expects and the risk appetite of investors.

• Tracking sales data
• Managing petty cash transactions
• Maintaining spreadsheets.
• Receiving and processing Invoices.
• Sales order processing.
• Assisting external auditors with queries.