Mohd Tahir
New Delhi
Summary
Snapshot
10+ Years of experience in Investment Banking Operations for leading financial firms. Understanding for Regulations, Depository, Treasury, Regulations, Settlements, Excel, advanced excel.
Understanding of end-to-end data flow and functioning of F&O Middle office, Regulations like CFTC, EMIR, Sec15c3-3, and CASS 6 & 7.
Understanding of Derivatives like Future options, Call, Put.
Daily interaction with the Clients, Settlements, auditors and stake holders to manage and look after the process requirements as per the Regulators.
Working experience on Thompson, Beta, Atlas, Bridge, Bloomberg, CTM, CBAR.
Overview
10
10
years of professional experience
Work History
Team Leader - Global Markets Operations & Middle Office – Client Assets Control Group
BA Continuum India Pvt. Ltd.
09.2018 - Current
- Company Overview: A non-bank subsidiary of Bank of America
- Presently monitoring CASS Regulations (Client Assets Sourcebook) & its impact on the following asset classes: Prime Brokerage, Client Money & Collateral; in process keeping the firm compliant with the Financial Conduct Authority.
- Presently working on ‘2’ CASS regulation (Client Assets Sourcebook) projects – Internal Books vs Legal Agreement.
- Working on Regulation like CFTC, EMIR, CASS, Sec-15c-3 & their break /dispute reporting.
- Reconciliation of positions of Equity, Debt and other capital market instrument between Internal Sub-ledger and Custodian balance to identify and resolving the errors/issue causing discrepancy.
- Monitoring client queries, investigate & provide the resolution.
- Have been closely working with Static, Onboarding, Off-boarding and CSR teams globally for maintaining consistency of client static across different system.
- Working with Internal and external counterparts to maintain the quality of the data as the regulatory impact is involved.
- Have been working with Settlement and Corporate Action teams in clearing breaks leading to incorrect representation of Client Assets and Cash positions.
- Have been successfully handling Audit for Indian team as well as Global team.
- Presently reporting regulatory numbers under CASS regulations (CASS 6 & CASS 7) and Sec regulations (Sec15c3).
- Successfully built Controls to identify any CASS Impact/breach (Client assets & Client Money) and has been involved in testing and enhancement of various controls.
- Responsible to make sure the Standard Operating Procedures (SOP) are up to date and reviewed by Line of Business.
- Handling various audit queries and providing end to end Audit support apart from supporting on adhoc queries from various regulatory teams during FINRA and SEC audit.
- Working closely with regulations like FCA (UK Regulatory), FINRA (US Regulatory) & SEC (US Regulatory).
- Creation of various monthly MIS reports and decks for monthly dashboard preparation and business Reviews with senior management teams at onshore/offshore sites.
Senior Associate
Infosys
01.2015 - 08.2018
- Company Overview: BPM
- Reconcile of capital market securities like mutual fund, common stock, bond & rectification of errors, DOD & Multi bene cases & handling the privilege clients, maintain the clients a/c’s.
- Worked on tools like BETA, THOMSON, E-workflow.
- Completing all the Mandatory and Voluntary Corporate actions payments within the given time period. For Example- Reverse Split, Dividend With Option, Stock Merger etc.
- Handling client queries and performing their task in the given time period.
- Part of Corporate Action (Dividend & Fixed Income) i.e. responsible for the proper posting of corporate income distributions to the brokerage accounts of clients who are eligible to receive the distributions.
- Ensure all SLAs, key deliverables and project milestones are met.
- BPM
Education
BBA - COMMERCE
GURU Gobind Singh Indraprastha University
08-2013
High School Diploma -
CBSE Board
01.2010
Skills
- Teamwork and collaboration
- Problem-solving
- Attention to detail
- Team motivation
- Decision Making
- Multi-Tasking
- Excellent Communication
Personal Information
Date of Birth: 08/31/92
Disclaimer
I hereby declare that all the above information in this application are factual and correct to the best of my knowledge and belief.
Timeline
Team Leader - Global Markets Operations & Middle Office – Client Assets Control Group
BA Continuum India Pvt. Ltd.
09.2018 - Current
Senior Associate
Infosys
01.2015 - 08.2018
BBA - COMMERCE
GURU Gobind Singh Indraprastha University
High School Diploma -
CBSE Board
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