LAKSHMAN SANKAR
Bangalore
Summary
Accomplished professional offering 8.3 years of experience in Investment Banking and Currently working in Surveillance process . My areas of expertise include Surveillance-Regulatory Compliance,Trade Validation ,Trade reconciliation ,Derivatives ,Financial crime , Operations Management and streamlining existing processes for improving productivity through better utilization of systems. .Applications Handled Fidessa ,Actimize,Murex ,Sophis ,BBG, Refinitve Eikon and MCH.
Overview
9
9
years of professional experience
Work History
ASSISTANT MANAGER
HSBC Bangalore
Bangalore
07.2020 - Current
- Review, investigate and escalate alerts generated by the Global Market Surveillance system
- Analyze risk across markets by monitoring price/volume movement in the securities using Surveillance application to safeguard the firm against any reputational and financial risk
- Monitoring various Trade activities and E-communication channels for any signs of market manipulation and market abuse practices as a part of Compliance system
- Analysis of Trade and E-communications to identify unusual activity and potential compliance issues
- Enquire with GPAD Team regarding Employee private investment activities for potential conflicts
- Review the alerts closed to ensure that all quality related parameters are met by them team
- Perform daily monitoring tests that ensure that the risks within the monitoring plan are mitigated
- Escalate instances of irregularities to regional hubs
- Produce reports providing management information for Senior Management
- Assist in the on-going development of the system to improve the efficiency of monitoring within the business.
SENIOR ANALYST
ANZ Bangalore
Bangalore
11.2019 - 07.2020
- To perform Trade validation on T+O and T+1 based on procedure
- Identifying the trade booking errors and escalating the issue to avoid the operational risk and process improvement
- Perform Trade validation and confirmation of ETD, Commodities and OTC products
- Support Trade settlement team with accurate trade reconciliation
- To ensure the accuracy and timeliness of the team deliverables
- Work closely with various stake holders including Traders, FOS and Market surveillance.
ASSOCIATE
State Street India Private Limited
Bangalore
05.2017 - 08.2019
- Developed financial statements that included profit and loss account, balance sheet and cash flow statement
- Held Holding readiness check as a part of financial statement
- Posted journal entries into the system as a part of financial statement
- Created report and sent the same to the clients according to the deadlines
- Prepared amendments on the reports based on the comments received from the clients
- Engaged in the preparation of monthly and quarterly business activity statement
- Managed Exchange trade derivative products such as Futures and options
- Engaged in the accounting of ETD related trade activity and cash activity on a T+1 basis referring to broker statements and IM trade files / SWIFT instructions, thereby, contributing toward accurate NAV calculation for the client's disposal
- Conducted daily cash reconciliations and position reconciliations to match accounting with broker
- Engaged in Trade booking for futures and options
- Realized/unrealized gain and loss posting
- Reconciliation of broker statement with holdings, fees, commission, margins, Forex and realized gain loss
- Confirmed the accuracy and timeliness of the team deliverables
- Reviewed/audited trades processed by other team members
- Trained new employees until they are prepared to handle function without oversight
- Responded to reconciliation breaks from Internal Recon Team, regarding cash and position breaks
- Resolved queries with internal teams, clients, vendors, counterparties and soon.
ACCOUNTS TRAINEE
V S Associates
Kerala
11.2015 - 12.2016
- Engaged in posting journal entries to ensure all business transactions were recorded on timely in system
- Calculation of purchase and sales bill and made tax return filing on the basis of the same
- Maintaining customers account by recording accounting information
- Performed Account Validation of Customers.
Education
MBA: Finance & Marketing -
Jawaharlal College of Engineering And Technology
Kerala01.2016
BBA: Human Resources Development -
Thunchathezuthachan College
Kerala01.2010
Skills
- Surveillance-Regulatory Compliance
- Trade Validation
- Trade reconciliation
- Derivatives
- Financial crime
- Operations Management
- Fidessa
- Actimize
- Murex
- Sophis
- BBG
- Refinitve Eikon
- MCH
Accomplishments
- Awarded as the Top performer of the company
- Recognized for winning several prizes in Carnatic Music and other cultural functions
- Received appreciation mails from Client service for risk identification
Languages
English, Malayalam & Tamil
Disclaimer
I here by declare that all of the above information is correct and accurate to the best of my knowledge.
Timeline
ASSISTANT MANAGER
HSBC Bangalore
07.2020 - Current
SENIOR ANALYST
ANZ Bangalore
11.2019 - 07.2020
ASSOCIATE
State Street India Private Limited
05.2017 - 08.2019
ACCOUNTS TRAINEE
V S Associates
11.2015 - 12.2016
MBA: Finance & Marketing -
Jawaharlal College of Engineering And Technology
BBA: Human Resources Development -
Thunchathezuthachan College
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