GOUTHAM G
Bengaluru
Summary
Financial operations specialist with 9+ years of experience in securities operations, reconciliation, settlements, and risk management. Skilled in leading cross-functional teams, managing process transitions, and driving automation initiatives. Experience includes handling OFAC checks, sanctions screening, and restriction reviews as part of AML/KYC compliance. Recognized for consistent high performance and effective stakeholder coordination in regulated environments.
Overview
10
10
years of professional experience
1
1
Certification
Work History
Senior Securities Operations Representative
Wells Fargo
Bengaluru
08.2020 - Current
- Led end-to-end process migration of Mutual Funds, DRS/DWAC, and IRA operations from US to India.
- Managed settlements of Equities, Bonds, and Mutual Funds with 100% compliance.
- Directed 10-member team; implemented KPIs, workflow tracking, and quality controls.
- Conducted OFAC checks and reviewed sanctions/restrictions in alignment with AML/KYC protocols.
- Played key role in RPA automation project, saving FTE hours and improving efficiency.
- Acted as SME and escalation point for critical trade settlement processes.
Senior Analyst – Reconciliation & Settlements
Accenture
Bengaluru
03.2019 - 08.2020
- Managed daily reconciliation of Nostro, Depot, and FOBO accounts.
- Investigated breaks using TLM RP and GLOSS; coordinated resolution with agents and clients.
- Reported volumes, exceptions, and risk updates to clients and leadership on a weekly basis.
Senior Analyst – Fund Services
State Street HCL
Coimbatore
07.2015 - 02.2019
- Migrated reconciliation processes from London; handled IM & Custody books using TLM & PLM systems.
- Handled fund accounting reconciliation and coordinated trade support for discrepancies.
- Liaised with Trade Support, FX, and Corporate Actions teams for break resolutions.
- Generated KPI/KRI reports and ensured process adherence to control guidelines.
Education
Master of Commerce (M.Com) -
SNS Rajalakshmi College of Arts and Science
01.2015
Skills
- Reconciliation (Nostro, FOBO, Cash/Stock)
- Trade Settlements & Lifecycle
- Process Migration & Documentation
- Risk & Compliance (RCSA, Audit Support, AML/KYC)
- OFAC Checks, Sanctions & Restriction Reviews
- Team Leadership & Performance Management
- TLM
- GLOSS
- SQL
- Excel (Advanced)
- Tableau
- Power BI
Certification
- Certified Business Analyst – Excelr Solutions
- Project Transformation – Wells Fargo
- Lean Practitioner – State Street
Accomplishments
- Two-time Star Performer of the Year recipient
- Multiple Spotlight Awards for leadership during peak volume
- Recognized by senior management for detecting and mitigating fraud risks
- Led 6-member team through high-pressure year-end clearance period
Process Improvement Projects
- Strengthened RCSA program to proactively manage operational risks.
- Created trackers and SOPs for leave/training management.
- Contributed to RPA project to automate repetitive workflows.
- Enhanced compliance with AML/KYC protocols via sanctions and OFAC handling.
Languages
Tamil
First Language
English
Proficient (C2)
C2
French
Beginner
A1
Timeline
Senior Securities Operations Representative
Wells Fargo
08.2020 - Current
Senior Analyst – Reconciliation & Settlements
Accenture
03.2019 - 08.2020
Senior Analyst – Fund Services
State Street HCL
07.2015 - 02.2019
Master of Commerce (M.Com) -
SNS Rajalakshmi College of Arts and Science
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