Humza Koti
Pune
Summary
Results-driven Authorized Officer with expertise in process improvement and team management. Proven ability to ensure compliance and enhance operational efficiency through innovative solutions and diligent oversight.
Overview
11
11
years of professional experience
Work History
Authorized Officer
UBS
Pune
08.2019 - Current
- Ensured compliance with regulatory requirements and internal policies through diligent oversight.
- Reviewed and approved financial transactions to uphold strict adherence to guidelines.
- Implemented process improvements based on regulatory updates and stakeholder feedback.
- Processed customer transactions using advanced banking software, enhancing efficiency.
- Managed cross-functional teams to improve communication and operational effectiveness.
- Developed training programs that elevated staff performance and ensured compliance with standards.
- Introduced innovative solutions to streamline processes while prioritizing customer satisfaction.
- Collaborated closely with team members to achieve project objectives and meet deadlines.
- Participated in multiple successful transitions of processes from the onshore counterparts.
Senior Analyst
Wipro
Pune
10.2018 - 08.2019
- Operated for Credit Suisse account within APAC settlements team.
- Ensured successful settlement of trades, preventing failed trades and associated charges.
- Investigated and resolved inquiries or complaints, adhering to service level agreements.
- Practiced efficient escalation for prompt resolution of issues.
- Monitored compliance with critical CDC breach controls and regulations.
- Conducted regular cross-training sessions to enhance team knowledge.
- Performed reconciliation of securities and cash.
Operations Executive
Bank of New York Mellon
Pune
04.2015 - 10.2018
- Executed supervisory framework aimed at minimizing operational risks and losses.
- Ensured accurate transaction documentation within appropriate systems for seamless settlements.
- Resolved failing transactions through thorough investigation and corrective actions.
- Handled query management and break resolution to enhance operational efficiency.
- Provided training on BAU procedures for new resources, utilizing different internal software.
- Utilized established procedures to address day-to-day issues and resolve CSR or Sub-custodian queries.
Learner (temp)
Capstone Securities Analysis Ltd.
Pune
09.2014 - 03.2015
- Analyzed market trends to identify potential trading opportunities.
- Executed intra-day trades on NYSE and NASDAQ platforms.
- Utilized automated short-term trading models for buying and selling shares.
- Designed trading strategies, determining optimal courses of action.
- Evaluated risk factors to inform decision-making processes.
- Monitored transactions rigorously for accuracy and regulatory compliance.
- Conducted thorough analysis of stocks, including news, patterns, and volumes.
- Implemented policies and procedures to enhance stock analysis efficiency.
Education
Bachelor of Commerce - Accounting And Finance
Calcutta University
Kolkata07-2012
Skills
- Process improvement and team management
- Query resolution and communication
- Analytical thinking and problem solving
- Document verification / KYC
- Risk assessment strategies
Timeline
Authorized Officer
UBS
08.2019 - Current
Senior Analyst
Wipro
10.2018 - 08.2019
Operations Executive
Bank of New York Mellon
04.2015 - 10.2018
Learner (temp)
Capstone Securities Analysis Ltd.
09.2014 - 03.2015
Bachelor of Commerce - Accounting And Finance
Calcutta University