Gautam Mishra

UNIT: Client Onboarding/Client Service/ Collateral

• Lead a team of 10 FTEs in the Implementation & Operations delivery for Collateral Management business.
• Provided migration services for clients transitioning from legacy systems to a modern client delivery platform called Colline.
• In addition, the team will also be providing end-to-end enhanced services to select clients.
• Ensuring the Fund setups and client-related activities are performed and completed on time and ensuring that downstream settlement teams (Fixed Income, Corporate Action, Collateral, Equity etc.) maintaining a seamless trade settlement process.
• Ongoing submission of daily work as per requests received throughout the day. Maintaining appropriate records of daily and monthly activities.
• Working with internal teams (accounting and cash) to ensure month-end closure happens on time for the respective clients.
• Provide assistance in researching and resolving exceptions, reconciliations, incorrect transactions, and inquiries
• Ensure the team maintained high-performance levels and exhibited a customer-centric approach.
• Successfully oversaw team member leave, appraisal, hike, and grievance processes.
• Supported the research and resolution process for exceptions, reconciliations, incorrect transactions, and inquiries.
• Establishing and maintaining current and reviewed standard operating procedures for all tasks.

Client: UBS

UNIT: Fixed Income settlements

• Oversaw confirmation and settlement processes for Euroclear and Domestic markets with a team of eight members.
• Ensured timely settlement of trades with their respective market cut-offs
• Actively contribute to team performance appraisals and provide performance ratings.
• Released and approved payments and instructions
• Coordinated with various teams including corporate action, treasury settlements, client services, stock lending, and transaction control. for the smooth trades processi

• Capital Markets, Business Development

• Undertook review of existing clients (investment banking and asset management) within the database to ensure that their documentation was kept up to date

• Ensured all transactions and contracts (BPO process) adhered to not merely high standards, but complied to KYC guidelines and regulations

Capital Markets, Business Development

• Preparing and presenting various team and work-related reports (monthly team report, private equity report) to senior managers in timely manner.

•Prepared and reconciled daily equity market report for the sales team

UNIT: Fixed Income Settlements

• Enhanced pre-matching process for Euroclear and domestic trades
• Identified and rectified cash and price discrepancies in fixed-income trades between UBS and counterparties using Bloomberg.

Wipro (UBS), Hyderabad Aug 2006 - June 2008

UNIT: Fixed Income Settlements

Designation: Analyst.

Enhanced financial compliance by executing trades according to national and international regulations, leading to recognition from UBS vendor manager for effective risk management.