Bloomberg
Kaustubh Gaikwad
Mumbai
Summary
Authorized Officer (Sr.Business Analyst) with 11+ years of excellent track record and successful experience in Investment Banking,AGILE Methodology, Investment Performance & Attribution Reporting, Investment Strategy Lifecycle Management and Investment Strategy Due Diligence. Recognized consistently for performance excellence and contributions towards both personal, organizational and team goals. Proficient in taking initiatives for business excellence through Transition Management, Client Management, Team Management, Process Development and Client Governance. Organized Team Leader builds positive rapport, inspire trust and guide teams toward achievement of organizational goals. Strong facilitator adept at working cross-departmentally with co-management and top-level leadership.
Overview
12
12
years of professional experience
Work History
Authorized Officer - Investment Management and Analytics (IMA)
UBS Business Solutions
6 2020 - Current
- As lead of IMA Team coordinating with Investment Managers and Research Team for flawless Investment Strategy Life-cycle Management across UBS platform
- Accountable for processing and maintaining Quarterly and Annually RFI (Request for Information) Due Diligence Questionnaires and DE&I RFI
- Auditing and finalizing Due Diligence Questionnaires provided by various Investment Management firms and communicating with Portfolio Managers in case of divergences
- Reporting Due Diligence Questionnaire review findings to Management Research team and assisting them with queries from Investment Management firms
- Accountable for requests and queries from various Investment Managers, Stake holders and Investment Research team
- Ensuring regulatory compliance by making sure all Investment Strategies are compliant with latest regulations
- Initiated and completed KIID reporting and Diversity Equity and Inclusion project for multiple Global Investment Banks and Investment Management firms which has helped UBS to get better understanding of Diversity landscape of 400+ Asset Managers that are associated with UBS
- Working with Product development team to finalize requests as per business requirement and sharing product level understanding from end user perspective
- Practicing Agile Methodology to efficiently deliver multiple projects
- Preparing BRD, Project Initiation Requests and Product Enhancement Requests based on business requirements and hosting sprints to discuss progress and challenges that might impact the requests
- Executing UAT and Production tests of newly developed tools and enhancements and thereby reporting feedback to responsible teams and stakeholders
- Reporting timely status reports to Senior Management and stake holders and making sure smooth functionality of projects.
- Streamlined workflows for increased efficiency, reducing turnaround times for critical tasks
- Established clear communication channels that ensured timely exchange of information between team members and stakeholders.
- Reduced risk exposure by conducting thorough audits and identifying areas for improvement in internal controls.
Team Leader - Performance Reporting and Attribution
JP Morgan Chase
04.2017 - 05.2020
- Generating Performance, Attribution, Risk reports and Fund Manager Reconciliation report with detailed analysis and commentary for Pension and Superannuation funds for clients based in APAC region on Daily and Monthly basis
- Taking care of weekly MIS, Team Dashboard and Work Matrix and providing data to Compliance team
- Reporting Fund Manager report which includes which includes detailed explanation on discrepancies between Fund Manager returns and JP Morgan reported returns
- Understanding client's requirement for Change Management or Product Development and working with development team to deliver expected result
- Understanding Client requirement for Change Management or product enhancement or alterations and working with Development team to deliver desirable result
- Perform UAT testing for different functionalities being developed by developers
- Trained and mentored new joiners on process and has carried multiple knowledge transfer sessions across team.
Sr. Performance Reporting and Attribution Analyst
Hexaware BPS
05.2015 - 03.2017
- Working as Individual Contributor and was accountable for functioning of entire process
- Reporting weekly and monthly Performance, Attribution, Peer Comparison and Risk report to clients
- Managing weekly governance calls with client and Sr
- Management with respect to daily work and feedback on delivered reports
- Making sure all reports are GIPS compliant
- Executing Ratio Purification of Al Hilal portfolios
- (Interest and Dividend Reinvestments)
- Part of Compliance Team, helped in performing Annual Compliance Audit for Multiple teams
- Preparing and Maintaining Audit related documents
- Working with different teams and making sure all risk and compliance guidelines are followed.
Analyst: Corporate Action – Cash Dividend
Wipro - Pune
01.2015 - 05.2015
- Research and process corporate actions on all securities administered by company
- Responsible for reconciling and releasing accruals to Firm trading books, to provide correct P&L and borrow charge calculation on accruals for stock loan desk, also accrual calculation for pending trades and position held at custodian or agent.
Associate, Performance and Analytics
State Street Syntel Services Pvt. Ltd.
07.2012 - 10.2014
- Generating Investment Performance report for US Pension Funds(401K) Defined Benefit and Defined contribution for clients based in North America
- Responsible for sending monthly and daily Performance and Attribution reports to clients
- Classification of equity securities with reference to GICS classification
- Working on ad-hoc request like back dated revision or change in structure from client
- Calculating performance returns for various asset classes like Equity, Fixed Income Portfolios by using various return calculation methodologies
- Generating attribution report of Equity Portfolios.
Education
Commerce
Mumbai University
Mumbai06.2012
Skills
Investment Banking
Investment Performance & Attribution Reporting
AGILE Methodology
Regulatory Reporting
Investment Strategy Lifecycle Management
Investment Strategy Due Diligence
Risk & Compliance
Client Onboarding
Stakeholder Management and Governance
Change Management
Documentation And Reporting
Accomplishments
- Promoted to Authorized officer based on excellent performance for year 2020 and 2021
- Appreciated for successfully delivering GICS revision project for 2018 and 2019
- Received appreciation from JP Morgan Australia client for successfully onboarding clients and carrying out BAU
- Received appreciation from Senior Management of Hexaware BPS for managing multiple projects and setting up Performance Reporting process
Academic
B. Com Graduate - 62% (2009 - 2012)
Mumbai University.
Software
MS Office
Interests
Astronomy
Football
Music
Reading
Timeline
Team Leader - Performance Reporting and Attribution
JP Morgan Chase
04.2017 - 05.2020
Sr. Performance Reporting and Attribution Analyst
Hexaware BPS
05.2015 - 03.2017
Analyst: Corporate Action – Cash Dividend
Wipro - Pune
01.2015 - 05.2015
Associate, Performance and Analytics
State Street Syntel Services Pvt. Ltd.
07.2012 - 10.2014
Authorized Officer - Investment Management and Analytics (IMA)
UBS Business Solutions
6 2020 - Current
Commerce
Mumbai University
Similar Profiles
HEMAVANTH REDDYHEMAVANTH REDDY
Authorized Officer at UBS Business Solutions India Private LimitedAuthorized Officer at UBS Business Solutions India Private Limited
Atul DcunhaAtul Dcunha
Authorized Officer at UBS Business Solutions India Private LimitedAuthorized Officer at UBS Business Solutions India Private Limited
Deepti NatuDeepti Natu
Associate Director Technology at UBS Business SolutionsAssociate Director Technology at UBS Business Solutions
Shashank M BShashank M B
Software Engineer at UBS Business SolutionsSoftware Engineer at UBS Business Solutions
Priti SharmaPriti Sharma
Senior AVP (Senior Business Executive - Consultant), Audit and Governance at Wells Fargo International Solutions Private LimitedSenior AVP (Senior Business Executive - Consultant), Audit and Governance at Wells Fargo International Solutions Private Limited