Karthikeyan L

Professional Experience
Middle Office Associate – Flow Rates Transaction Control -NatWest Markets | Aug 2024 – Present
• Collaborated with FO trading desks to ensure accurate booking and execution of trades
on platforms like Markitwire, Bloomberg, and Trade Web.
• Validated IRD trades (Paper/Electronic) across booking systems, resolving discrepancies
for accurate trade details.
• Support the paper issuing/drafting team to ensure confirmation documents align with
ISDA guidelines.
• Monitor risk exposures, trade lifecycle amendments, and P&L validation to ensure
compliance with limits.
• Oversee collateral management and margin calls, ensuring smooth settlement of IRD
bookings.
• Lead a team of 8 analysts, providing training, mentorship, and performance
optimization.
Drive automation and process improvements to reduce manual work, and enhance efficiency.
• Prepare MIS reports, KRI dashboards, and analytics for senior management insights.

Middle Office Analyst - Senior Analyst, Margin Stamping - NatWest Markets | Nov 2021 – July 2024

• Performing daily control checks to ensure uncleared OTC derivatives trades are stamped with regulatory stamps

• Monitoring counterparties threshold limit on a daily basis to ensure threshold limit is not exceeded and implementing stop trading protocal if the limit is exceeded

• Investigate and resolve discrepancies on timely basis

Ensure transactions are executed correctly using legacy applications to avoid collateral impact.

• Interact with both internal and external parties to resolve stamping related queries

• Ensure breaks are cleared on timely manner

• Performing KRI and monthly evidence-storing activity.

• Actively involved in projects activity

• Performing matching and settlements of securities transactions including Equity, Fixed income on the global trade processing platforms.
• Ensure trades are matched and swifts sent to the market well before market cut-off.
• Ensure timely settlement of trades across all the domestic and international markets.
• Interact with both internal and external parties to resolve trade confirmations and settlement queries.
• Performing daily reconciliation between client and custody accounts.
• Investigate and resolve discrepancies on timely basis.
• Ensure client positions are correct and all transactions are processed before deadline.
• Ensure Cash and Stock breaks are cleared on timely manner.
• Work with custodians and counterparties to capture failed trades.
• Work with internal/external static teams to fix the static setup issues.
• Review quality errors and provide feedback to associates.
• Participated in group and individual meetings to review workflow, status of exceptions, service issues.
• Ensure all errors/breakdown of procedures are documented as per company policy.
• Performed multiple application UAT testing's including Intellimatch, Hiport & Trade flow.
• Received KAIZEN award for Process simplification and risk reduction.
• Active involvement in multiple projects.
• Assisting the work of the team and making sure there is 100% quality delivered.
• Provide cover for other team members in their absence to make sure smooth running of business.
• Maintained 100% accuracy in the process.

• Opening and closure of account of the client
• Placing the trades in the system as per the client request
• Updating the bank details, NAV values in the system and sharing the final reports to the end client
• Handled all kind of issues, requests & queries from the End client
• Productivity and quality document preparation (Dash board, RCSA samples) Performed quality checks for the makers and doing 3rd level checks.
• Process equity, bonds and FX trades as per the client instruction.
• Performed timely reconciliation of trades to avoid NAV impact.
• Productivity and quality document preparation (Dash board).
• Verification of blotters received from the advisor.
• Maintained 100% accuracy in the process.

• Allocation of payments as per client request
• Performed Account to Account transfers as per request
• Payment Transfer and cheque Clearance
• Maintained 100% accuracy in the process.