K. Sai-Gopal
Hyderabad
Summary
Accomplished Operations Manager with a proven track record at K-Fin Technologies Limited, showcasing exceptional leadership and communication skills. Spearheaded successful mutual fund launches and streamlined back-office settlements, enhancing operational efficiency by 20%. Adept at risk management and process optimization, demonstrating a strong work ethic and a keen ability to learn swiftly.
Overview
12
12
years of professional experience
Work History
Operations Manager
K-Fin Technologies Limited
Hyderabad
2024.04 - Current
- Responsible for the Registrar & Transfer Agent (RTA) Team working on mutual fund on behalf of Asset Management Company (AMC)
- Successful launch of New Fund offer of the Mutual funds for Clients based out of India
- Managing the end to end process to hire, train and develop the staff & enable the team to be technically ready for the product launches, daily processing within a short period of time
- Managing performance reviews, SLA, third level escalations
- Ensure a constant flow of information and knowledge dissemination
- Responsible for designing and maintaining SOPs, process map, Process checklists, exceptions in the process flow
- Identify and manage risk in business, product and service transactions by leveraging the Risk Framework
Team Leader, Back-office Settlements
Natixis Investment banking
2023.01 - 2023.06
- Simplified and streamlined the back-office settlement processes by eliminating risks such as claims and buy-in charges, ensuring value date settlement of the trades.
- Led operational excellence by conducting root cause analysis and facilitating the smooth functioning of operations by identifying the reasons for the frequent queries and providing permanent fixes to the issues raised by clients.
- All eligible ticket confirmations from the counterparty are resolved with root cause analysis, which quantifies to five clients per month.
- Tools for process improvement, such as Advanced Excel and Power BI, were used to identify the reasons for the client queries. Coded and recorded macros have helped to save 2 full-time equivalent (FTE) work.
- Ensure completeness and robustness of process settlement SOP through the incorporation of a sound change management process for all the changes coming from the clients.
Senior-Associate-Level 2, Client Delivery services
State-Street Corporation Services
2019.02 - 2022.06
- Migration of Asset Management Service process from Quincy, Boston to India (Pilot Batch)
- Liaising with Asset Managers and Internal operations groups providing custody support by resolving queries from across multiple tier one & tier two clients with a focus on establishing communication between Client Service, Operations, and other business units shared client with state street Middle office / Back office and Third-party Investment-Managers, to ensure an effective operating environment
- Point of contact to the Investment Managers as Client Service Representative for any issues on day-to-day business, queries/issues, includes queries like: Depository Trust Company, Euroclear, Clear stream, and international trades
- Corporate Actions such as (Class Actions, Mergers & Acquisitions)
- Alternative Investment Advisory
- Collateral
- Income & Dividend from global locations
- Reconciliation
- Overdrafts
- Trade confirmation of all equity trades booked by the front office, Central Trade Management (CTM) is used as a platform for trade confirmation
- Ensure that custody gets Swift copy as soon as trades are matched on CTM
- Facilitate the settlement for the trades booked and settles by VD without delays
- Responsible to prepare daily and weekly reports and to circulate within the team so that SLAs are met and the reports are actioned on time
- Cross trades within the custody or two different custodies are handled
- Structured training provided to the peers with On-job training and dedicated training using the product knowledge and power point presentations
Senior Process Executive, UBS International Settlements
Cognizant Technology Solutions India Private Ltd.
2017.07 - 2018.12
- Areas of expertise: Clear-stream, Local markets, Reconciliations
- Prioritizing the market and currency-based trades and reaching out the Agent and counter parties for settlement
- Closely monitoring the high worth trades and making them to settle on or before market cut-offs
- Checking the short positions and moving of securities from one account to another account to cover short position
- Keeping more focus on Buy-In related trades and make them settle on high priority basis
- Maintaining the daily & weekly RISK reports
- Resolving all break related queries on back of trade settlement
- Posting the Journals and statements to the client’s respective account after trade settlement
- Verifying the bookings with trade confirmations
- Managing team leave tracker effectively to meet the team requirement
- Identifying the Instructions which are coming from CPs and informing to appropriate Booking desk
- Accepting the Full pair-offs and Partial pair-offs from counter parties
- Monitoring Cash Payments and Receives (SPO)
- Verifying the Standard Settlement Instructions with Agent
- Amending the trades with the request of booking desk
Associate Analyst, UBS (Investment Banking) International Settlements
Wipro Limited
2013.01 - 2014.03
- Manage Fixed Income matching and settlement processes in Euroclear 96744 for Bond and Equity Settlement by working with Traders, Sales people and other FI Ops teams globally, maximizing settlement efficiency
- Responsible for extracting and manage all the reports of the Euroclear team (S-2 Pre-matching, Holding Reports, Settlement Reports)
- Built strong working relationships and a network of contacts with clients both internal and external
- Depot re-alignment where if, the DTC is short of position then will flip the position from Euroclear 96744 to DTC
- Ensure prompt response into the Euroclear inbox, with a view of time zone impact, showing high level of skill including telephone manners
- Escalate all problems in a timely manner to ensure appropriate action is taken and financial exposure is avoided or at minimum
Education
MBA -
CMR college of Engineering and Technology
01.2016
BCOM - computers
St. Paul’s Degree College
01.2012
AISSCE -
Jawahar Navodaya Vidyalaya
01.2009
AISSE -
Jawahar Navodaya Vidyalaya
01.2007
Skills
- Possess effective communication skills
- Good team player and ability to handle multiple tasks
- Goal oriented and ready to take initiatives
- Ability to work in a target-based environment
- Strong work ethics and highly professional
- Highly enthusiastic in learning new things
- Willingness to work & quick learning capability
Professionalachievements
- Led the migration of Wipro's banks from Euro-clear 96744 to Clear-stream 19201 by moving customer accounts to the new trading platform while successfully managing day-to-day operations.
- Led the transition of more than 100 Lyxor Asset Manager Paris funds from the EMEA State Street location in Poland to the North America Fund Services Bangalore location by providing custody support and resolving issues from a variety of tier one and tier two clients.
- Created and maintained daily detailed custody and cash forecasting reports on tight deadlines for clients.
- Provided direct custody support and established complete financial reports for clients on monthly, quarterly, annual, and ad-hoc basis.
- Designed a structured training to the peers for On-job training and dedicated training using the product knowledge and power point presentations.
- NISM Certified NISM-Series-II-B: Registrars to an Issue and Share Transfer Agents - Mutual Funds Certification Examination
Websites
Personnelachievements
- Certified ScrumMaster (CSM), from Scrum Alliance
- Certified Six Sigma - Green Belt holder
- "Ace of Rookie” certificate from cognizant for learning the process quickly
- “Hall of Fame” certificate from cognizant for handing APAC Buy-in markets efficiently in 2018
- Best Performer of the team 2018 and 2019
- District level Table tennis player
- Rewarded for establishing best relations with the clients and my contribution to the Client Delivery Management team
- IIBA certified Business Analysis and Project Manager Collaboration Foundation course
- PMP Accredited "What is PMO" course completed
Acknowledgement
I hereby, submit my resume as a step in exploring the possibilities of the employment with your esteem organization. I also declared all the above information.
Affiliations
Ø Best Performer of the team 2018 and 2019.
Ø District level Table tennis player.
Accomplishments
Ø Rewarded for establishing best relations with the clients and my contribution to the Client Delivery Management team.
Ø ScrumMaster® (CSM®), from Scrum Alliance®
Ø Certified Six Sigma - Green Belt holder.
Ø "Ace of Rookie” certificate from cognizant for learning the process quickly.
Ø “Hall of Fame” certificate from cognizant for handing APAC Buy-in markets efficiently in 2018.
Languages
Telugu
First Language
Timeline
Operations Manager
K-Fin Technologies Limited
2024.04 - Current
Team Leader, Back-office Settlements
Natixis Investment banking
2023.01 - 2023.06
Senior-Associate-Level 2, Client Delivery services
State-Street Corporation Services
2019.02 - 2022.06
Senior Process Executive, UBS International Settlements
Cognizant Technology Solutions India Private Ltd.
2017.07 - 2018.12
Associate Analyst, UBS (Investment Banking) International Settlements
Wipro Limited
2013.01 - 2014.03
MBA -
CMR college of Engineering and Technology
BCOM - computers
St. Paul’s Degree College
AISSCE -
Jawahar Navodaya Vidyalaya
AISSE -
Jawahar Navodaya Vidyalaya