Pankaj Pandey
Thane
Open To
- Mumbai, Pune, and Bangalore
Summary
- Team Leader with over 10 years of experience in financial services and KPO operations, focusing on mutual fund and hedge fund trade execution, insurance, and pension processes. Expertise in managing complete trade lifecycles, client onboarding, and complex process migrations, consistently achieving SLA and productivity targets. Strong background in operations management, workforce planning, and performance reporting, with a proven ability to implement process improvements in global banking and asset management. Recognized for developing high-performing teams and enhancing workflows to achieve significant business results.
Projects
- Insurance process migration (Mar 2016): Led migration, growing the team from 4 to 12, enhancing workflow stability, and knowledge transfer
- UK Stakeholder Pension Migration (Feb 2019): Led international migration with documentation, training, and stakeholder management, stabilizing BAU
- ACS dealing and deal amend migration (Nov 2023): Directed cross-border migration, achieving stable operations, and recognized by the COO
- Client onboarding (Dec 2024): Led onboarding of a client transitioning from BNY to Northern Trust, overseeing UAT execution and cut over with no post-implementation issues.
Overview
10
10
years of professional experience
Skills
- Operations management
- Trade processing
- Mutual fund and hedge fund operations
- Client onboarding and transfer agency
- User acceptance testing (UAT)
- System implementation
- Workforce management
- Coaching and mentoring
- Performance reviews and KPI oversight
- Service level agreement (SLA) oversight
- Capacity planning and forecasting
- Process improvement and migration
- Documentation and reporting
- Escalation handling and analysis
- Risk management and control
- Client relationship management
- Complex problem-solving
Work History
Team Leader – Dealing Operations
Northern Trust
Pune
01.2023 - Current
- Lead a team of 10 associates executing investor subscription, redemption, and transfer transactions in line with client instructions, internal controls, and regulatory requirements for mutual funds and hedge funds.
- Manage end-to-end registration and maintenance activities including valuation, renunciation, mandate updates, stock transfers, agent setup, and control reporting across multiple funds and share classes.
- Completed testing for TADigitizer, successfully validating the automated processing of retail and nominee investor trades. Leveraged machine learning to accurately read fax and email instructions, enabling seamless trade placement into the system.
- Own new client and investor onboarding, including UAT planning, test execution, documentation validation, and go-live support to ensure seamless integration to production systems.
- Coordinate with internal and onshore teams to resolve trade breaks, pricing discrepancies, and position mismatches, ensuring accurate portfolio records and timely settlement.
- Support new fund launches and closures, including in-specie transfers, seeding trades, and coordination of cut-offs and settlement timelines.
- Drive process improvement through error classification, root cause analysis, and implementation of preventive controls, contributing to reduced error rates and improved STP.
- Prepare and review monthly MIS, KPIs, and performance reports for senior management and onshore stakeholders, supporting capacity and workforce planning.
- Recognized by the COO for successfully migrating and stabilizing the ACS Dealing and Deal Amend activities and for leading client onboarding and UAT for a client transition from BNY to Northern Trust.
Team Leader – Financial Services Operations (previously Specialist)
SS&C
Navi Mumbai
07.2020 - 01.2023
- Led a 24-member team handling financial services operations, setting clear performance goals, monitoring KPIs, and conducting regular one-to-one meetings to improve productivity and quality.
- Ensured delivery against client SLAs, managing daily workflow, work allocation, and staffing to meet turnaround time and accuracy standards.
- Handled client calls and escalations to clarify requirements, resolve issues, and enhance service satisfaction.
- Managed onboarding and OJT training for new joiners, providing goal sheets, feedback, and continuous development support.
- Prepared weekly and monthly productivity metrics, hourly volume reports, capacity planners, error trend analyses, and executive decks for management review.
- Drove process improvements including redesign of workflows and controls, improving operational efficiency and audit readiness.
- Received awards such as 'Titan of the Month', Special Mention, and Above & Beyond for tax year-end management, leadership during peak periods, and multi-tasking across projects.
Officer → Associate → Senior Associate
Atos Syntel
Navi Mumbai
11.2015 - 06.2020
- Managed insurance and UK pension operations including set-up and maintenance of regular savings facilities for defined contribution pension clients.
- Processed top-ups, internal fund switches, direct debit amendments, pension transfers, and issued contract notes, following CASS 7 and CASS 8 requirements.
- Monitored and protected unallocated money in client money bank accounts and ensured adherence to regulatory guidelines.
- Verified Money Laundering status using Experian and other tools and updated client records accordingly.
- Communicated with clients about arrears, outstanding items, and settlements, improving collection and reconciliation metrics.
Education
Bachelor of Management Studies (BMS) -
Ramniranjan Jhunjhunwala College
MumbaiLanguages
- English
- Hindi
- Marathi
Technical Skills
EXPAG, ICON, FAST, AWD, AWD Wealth, Percana Eclipse, Risk Online, RCA tool, Experian Site, FCA Register, HMRC, Omni Workflow, Calastone, Active Operations Management (AOM), MS Office (Excel, PowerPoint, Word, Outlook)
Timeline
Team Leader – Dealing Operations
Northern Trust
01.2023 - Current
Team Leader – Financial Services Operations (previously Specialist)
SS&C
07.2020 - 01.2023
Officer → Associate → Senior Associate
Atos Syntel
11.2015 - 06.2020
Bachelor of Management Studies (BMS) -
Ramniranjan Jhunjhunwala College