Omkar Sandeep Pradhan
Dombivli (Thane)
Summary
Dynamic professional with extensive experience in asset management, excelling in regulatory reporting and investment compliance. Proven ability to coordinate audits and ensure adherence to market regulations. Strong communication skills complemented by a understanding of debt and equity markets, driving effective decision-making and enhancing operational efficiency.
Overview
8
8
years of professional experience
1
1
Certification
Work History
Senior Assistant Manager
NJ Trustee Private Limited
Mumbai
05.2023 - Current
- Ensured compliance with investment limits and asset allocation regulations.
- Monitored adherence to market abuse guidelines and PIT regulations.
- Coordinated audits to maintain regulatory standards and accuracy.
- Submitted reports to SEBI, AMFI, RBI, and APMI in a timely manner.
- Filed FATCA/CRS documentation and addressed income tax notices.
- Maintained compliance with proxy voting requirements.
- Provided compliance data support for investment committee decision-making.
- Managed broker empanelment processes and conducted annual reviews.
- Ad-hoc data requirement to AMFI and SEBI.
Audit Assistant
S Panse & Co. LLP
Mumbai
12.2021 - 04.2023
- Reporting to Partner (Audit & Assurance)
- Concurrent audit of AMC's (Asset management companies).
- Monitoring their Asset Allocations as per Scheme Information Documents and Regulatory limits prescribed by SEBI.
- Constantly checking if any NFO's (New fund offer) of Debt, Hybrid, FMP, FOF schemes are published by AMC's in order to prepare new scheme setup for monitoring.
- Checking new circulars published by SEBI/AMFI and update process as per circular applicability.
- Calculation of Macaulay Duration of Debt schemes and reporting any breach on daily basis. Monitoring potential risk class of Mutual Fund schemes as per Scheme Information Document.
- Verification of Liquidity Risk Management and their monthly ratios.
- Monitoring of trades placed by Fund Managers and checking if specific regulations are within limits set by SEBI/AMFI.
Operations Analyst
Equinox Research, M/s.Bayzat
Thane
09.2019 - 12.2021
- Collection of documents from Clients and forwarding/submitting it to Insurance Companies based in UAE to enroll/remove employees in corporate health insurance plans.
- Sending insurance certificates, card copies, invoice of insurance premium to Clients.
- Updating internal records of insurance premiums and co-ordination with finance team for the collection of premiums on timely basis.
- Maintained extensive knowledge of insurance products to provide detailed specifications to customers.
- Prepared process flow and necessary paperwork required to process insurance sales and renewals for different insurance companies.
- Responded quickly to client's urgent requests and escalating the same to insurers to provide deliverables on time.
- Provided relevant information along with attentive customer service to all customers.
- Providing training to newly joined team members with the basics of insurance process followed in UAE.
- Escalating pending insurance applications to insurance companies and internal higher management for their urgent attention.
- Suggesting, informing team members, product team, management for any changes in process. Sharing new ideas to management for enhancing customer experience.
Customer Care and Collection Officer
Indiabulls Ventures Finance Limited
Mumbai
10.2017 - 09.2019
- Reporting to Manager Customer Service:
- Guiding the customers through the whole loan application procedure and helping them to get loan amount credited to their account.
- Administrative report of customer complaints, Weekly meeting for Analysing trend of customer complaints.
- Verification of KYC Documents for Loan Approval purpose, Sending cases to underwriters for additional approval of loan.
- Co-Ordination with Territory sales officers/managers PAN India to complete their pending loan applications.
- Arranging collection executives for collection of documents from customers whenever required.
- Handling escalations and resolving them with the help of senior management.
- Providing suggestions to product team for any important improvements required in application.
Education
Masters - Financial Management
Somaiya Institute of Management Studies & Research
Mumbai, MH06.2021
Bachelor of Commerce - Accounting
S.K.Somaiya Institute of Arts, Science & Commerce
Mumbai01.2016
Skills
- Communication skills
- Regulatory reporting
- Audit coordination
- Investment compliance
- Basic knowledge of Excel, Word, and PowerPoint
- Basic knowledge of debt and equity markets
- Effective communication
Certification
- Certificate course in PROBE: A three-month certification in retail banking from Bankedge, an academy for banking and finance
- Certifications from NISM in fixed income securities and mutual fund foundation
- Introduction to international securities from CISI
Accomplishments
- Third rank for three consecutive months in quality assurance for providing excellent customer service to customers at Indiabulls Ventures Finance Limited
- 1st prize in the oratory competition organized by Kumar Kala Kendra, and 1st prize in the interstate drama competition
Languages
Marathi
First Language
English
Proficient (C2)
C2
Hindi
Proficient (C2)
C2
Timeline
Senior Assistant Manager
NJ Trustee Private Limited
05.2023 - Current
Audit Assistant
S Panse & Co. LLP
12.2021 - 04.2023
Operations Analyst
Equinox Research, M/s.Bayzat
09.2019 - 12.2021
Customer Care and Collection Officer
Indiabulls Ventures Finance Limited
10.2017 - 09.2019
Masters - Financial Management
Somaiya Institute of Management Studies & Research
Bachelor of Commerce - Accounting
S.K.Somaiya Institute of Arts, Science & Commerce