Gauri Mangesh Prabhu

Work History

Internal Auditor

Reputed CA

Trade Finance: Reviewing of Import & Export transaction viz.Import Advance Remittance, Direct remittances, Import Letter of credit, Packing Credit, Export Collection, Purchase Discount
Retail Banking: Reviewing of internal controls at branch level, verification of saving, current & Demat Account opening and closure forms.Varification of Payment and Receipt voucher
Money Market: Verification of deal slips viz call money, notice money, Term Borrowing and lending ect, Verification MIBOR rates for Call Money
Derivative: Verification of IRS Deals, option deals
Concurrent Audit done for following bank:
Bank of Baroda(Treasury Branch)
Development Credit Bank LTD
Oman International Bank
Calyon Bank
Mizuho Bank
Deutsche Bank
Syndicate bank

Associate

JP Morgan Services India Pvt Ltd

Mumbai

01.2015 - Current

I -Fund Administration
My responsibilities include:
NAV Validation and Oversight functions of Mutual funds & pension funds clients
Valuation and P/L analysis: Review of daily NAV; valuation of securities and verifying performance
Performed middle office functions including review of large P & L swings on a security-wise and portfolio wide basis
Adjust activity as necessary for performance validation and reporting to align with the risk platform
Actively recommended and led multiple automation and enhancements projects thus reducing manual touch points and possibility of errors
Performing 3-way reconciliations of brokerage and custodian accounts to underlying records
Assisted VP/AVP on appraising team members and also conducting meetings to obtain feedback on ongoing working issues of the team
Working in a team-based deadline approach, maintaining a high level of quality and integrity in execution of daily delivery
The key achievements during the period are as under:
Been awarded Star Performer of the month, couple of times
Part of the core team to handle Bournemouth Fund (blueprint client for JPM)
Part of the core team to provide training to new fund administrators
Have been actively involved in fund migrations from Manila and Bangalore Office
Part of best team of the quarter award 2020/2021 in CIB.

Senior Reconciliations Analyst and TLM

03.2007 - 07.2014

Admin in Asset and Wealth Management, Reconciling accounts for multiple custodians (JPMIS,Northan,Bony,Mellon, State Street, Bank One, Fifth Third, SEI Investments, Comerica Bank )
To make sure that any cash breaks are not aging on TLM web connect 2.5 (Smart Stream product) which includes all type of transactions, such as FI, Equity, futures, SWAPS, FX, REPOS etc
By reviewing and adjusting the balances to ensure that, there are no discrepancies
Handling SWIFT enabled accounts as well as accounts, which were, are not SWIFT enabled, wherein the latter required the procurement of statements and reports from custodians to update accounts daily
Identifying Cash and share breaks and resolving the same with the aid of investment managers and custodians
Worked with Income Group: Verifying Bloomberg and DTC system for Income related breaks in
Managed a team of 8 in the absence of Team Manager of the process
Encouraging, motivating the Team for their work, and communicating with each of the representative in their way of needs
IM reconciliation was undergoing reconciliation tool transition
Accounts were being transitioned from CARS to TLM
Accounts transitioned over to new platform were thrown out of balance
These issues needed to be resolved to be able to reconcile the account and ensure transition was successful
In a BAU mode the average number is between 10 & 20
During the transition of accounts issues spiked up to 300
These were resolved by forming a strategic team of SMEs
I had the opportunity to resolve issues and assist in transition
We were successful in resolving all the pending issues and to ensure that the transition was completed
Our accomplishment was appreciated by recognizing us as champ of the month for Investment Operations
Income group from Delaware (DE) core operations had sudden attrition
Oversight from DE Operations team requested extended support to book accounting adjustments for a specific period of time
Function was an extended activity to reconciliation process
I was selected to be part of this project
This was a great learning experience as the function was upstream of my current process
This project was supported for the period requested
I could expand my knowledge about Income transitions and transaction life cycle and transfer the knowledge to reconciliations team
Reviewed and generated quality reports for the new recruits during their transition period
Been a “Shadow” to new recruits to understand the norms of reconciliations and assisted them with their difficulties
Worked on “ Web-Site Access Project “ which, involves creating User Id’s, deleting User Id’s and getting access for new accounts on the respective website and projecting the MIS of the same to the Management Team
Giving presentation on different topics related to the process
Projecting MIS of the Monitor Report to the management team
Managed the training team
Generated reports on the performance for each trainee and accordingly designed training module for the batch
Handling Corporate Action Project
Supervised the team as a senior representative for the new joiners
Retrieving The required report whenever audit request come

Summary

Overview

Work History

Internal Auditor

Associate

Senior Reconciliations Analyst and TLM

Education

Bachelor Of Commerce - Commerce

Skills

Accomplishments

Timeline

Interests

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