Manoj Kumar

Transfer Agency – Dealing, AML, Registration & Static Data on Mutual fund

Dealing Process:

• Transitioned the Luxembourg TA business to Bangalore in the year 2017 which has given me an exposure to interact with clients and home location to great extent.
• Process Subscriptions, Redemptions, Switches and Transfers as per the instructions received from investors
• Perform quality check on the deals placed and ensure it is in line with the be-spoke procedures of each client (Fund Company) & within the cut-off.
• Successfully manage multiple cut-offs for dealing through-out the day for 200+ clients
• Monitoring and ensuring the dealing deadlines are met as per the SLA.

Registration, Static Data & AML :

• Work on Static Data, AML, and Registration.
• Verify the applications forms received from the investors & verify them with the respective client procedures and then setup the clients’ accounts/modify/amend the static data as per their request.
• Perform Quality checks of the new accounts opened to ensure errors are avoided to maintain highest level of accuracy & provide feedback on the errors.
• Well-versed in FATCA/CRS and GDPR.
• Ensure all accounts for clients are opened and available for Deals to be placed.
• Ensuring that the controls are in place in the process with respect to audit compliance. Also, part of the SOC1 Audit in which provided the sample for the Audit.
• Handling complex process like AML process by way of conducting AML Due Diligence on the existing and the newly on-boarded clients by verifying the legal structure of the profile through business Information Sources/Regulators Websites
• Handled multiple Static data projects, clean-up projects with a short notice of turnaround time.
• Resolve all queries and emails in a professional way within the expected turnaround time.
• Have trained the new hires in the team and helped them understand the process by answering queries.
• Ensuring that the controls are in place in the process with respect to audit compliance

Applications used:

• SunGard, Multifonds, QFAS, EXP AG, Signature Archive
• XDD scheduler and N: ICE

Achievements

• Proposed an idea on process to dissolve it which would result in considerable reduction of volume in BAU for both Static data & Registration team
• Have been identified as the critical and key member in the team and have been appreciated for the same from both the location
• Have received certificate for Focus client relationships on several projects
• Have maintained my quality levels to 100% on a regular basis
• Have been identified as the critical and key member in the team and have been appreciated for the same from the home location
• Appreciated for independently handling monitoring of Anti Money Laundering check’s and responding on the mails for the same from different business locations
• I was a part of Multifonds 5.0 testing I have received 3 Bronze and 5 monthly spot awards in the R&R event

Achievements and Responsibilities

• Got trained in all process trainings for Merger & Acquisition and helped the team to reach new height.
• Working on mergers and Acquisition, amount of deals.
• Research Analyze and setup the Company profile, Fund’s profile in our database which would be viewed by the clients.
• Sourcing information from different news wires
• Capture the deal in our database and send it to Thomson Reuters Icon.
• Participates on weekly calls with partners for better understanding of process.