Maulik Khona

Currently working as an Associate at Morgan Stanley,

Where I have successfully lead and transitioned 2 global processes and 1 external vendor process. I am a SME responsible for Trade Commission Sharing Agreement (CSA / Soft Dollar) Reconciliation, Payments and Invoicing to our clients.

• Reconciled trades and soft dollar commission of around 800 + clients (APAC, EMEA & NA)
• Lead and automated Outsourced Trading Reconciliation process
• Collaborated with IT development and internal teams to automate manual CSA / softdollar reconciliation
• Developed and maintained detailed project documentation that enabled effective tracking of project progress
• Processed high-volume AP transactions with accuracy and efficiency. Reviewed and approved invoices for payment in a timely manner
• Identified process gaps and and implemented control checks to ensure daily BAU is not impacted
• Managed team resources effectively to ensure adequate coverage for daily BAU and tasks
• Collaborated with cross-functional teams to ensure client satisfaction and meet deadlines
• Provided technical training and mentored new joiners in the firm, Developed a comprehensive training program
• Maintained effective client relationships, ensuring client satisfaction and loyalty
• Monitored project progress and created contingency plans to adjust to changing project requirements
• Encouraged creativity and innovation to develop new solutions to complex problems

• Single handedly managed FPM and VD settlements for Developed and Emerging APAC & EMEA domestic markets
• Identify and address potential risks or buy-ins before the impact
• Established and maintained effective relationships with clients, agent banks and custodians
• Partially settled and netted off the trade difference on behalf of the firm
• Coordinated and oversaw the BAU operations with agent banks,custodians and other stakeholders

• Performed KYC reviews on diverse range of Institutional clients
• Closely analyzed the onsite Client Documentation Groups and Compliance, specifically- KYC, AML & Regulatory Gap Analysis
• Reviewed and checked customer profiles to ensure everything is in compliance with AML regulations & PEP connection