Pooja Shukla
Assistant manager- Trade settlements
Bengaluru
Summary
Highly motivated financial services professional with 8+ years of experience in brokerage operations, securities processing and client relationship management. Proven ability to streamline processes, mitigate risk, and ensure regulatory compliance. Seeking a challenging role to leverage expertise in trade lifecycle, settlement, reconciliation, and operational efficiency to contribute to the firm's success.
Overview
7
7
years of professional experience
4
4
Certification
Work History
Assistant Manager
IndMoney Brokers Private Limited
08.2023 - Current
- Ensuring seamless operations within the Derivatives and Clearing & Execution department.
- Managed daily clearing and execution operations for derivatives, ensuring accurate and timely processing of trades while adhering to exchange regulations and internal controls.
- Enhanced post-trade processing efficiency by reducing settlement exceptions by 15%, contributing to the smooth flow of transactions.
- Involved and undertook ad-hoc tasks to ensure smooth exchange and client requirements related to Derivatives and Clearing while managing daily workflow and meeting market/internal deadlines.
- Led a project to implement a new tracking system for trade reconciliation, resulting in a 90% reduction in discrepancies and improved data integrity.
- Responsibilities included collaborative management of daily workflows, contribution to priority setting, and facilitation of effective responses to client and partner needs.
- Identified and rectified critical errors in trade settlements, preventing financial losses.
- Efforts focused on protecting the firm and clients from market penalties and enhancing risk management and trade efficiency through team coordination.
- Key contributions to these efforts include - Trade Reconciliation, Risk Mitigation, Accurate Reporting, Allocation of funds and securities.
Senior Operations Executive
WealthyIN Broking Private Limited
01.2023 - 08.2023
- Managed securities processing activities, including trade confirmation, settlement instructions, and position keeping, ensuring accuracy and compliance with market practices.
- Oversaw account management functions, including client onboarding, account maintenance, and corporate action processing.
- Collaborated with cross-functional teams to resolve discrepancies in securities transactions and client accounts, ensuring timely and effective resolution.
- Additionally, the role contributed to IPO application processing and share allocation.
- Collaborative efforts were essential for discrepancy resolution, and effective communication with relevant parties.
Operations Executive
Way2wealth Brokers Private Limited
11.2019 - 01.2023
- The role encompassed client relationship management and operational coordination.
- Coordinated back-office operations, including securities transfers, client pay-in authorization, and client record maintenance, ensuring operational efficiency and accuracy.
- Responsibilities include supporting client interactions, managing back-office functions, adhering to compliance guidelines and the maintenance of accurate client records.
- Contributed to risk mitigation efforts by collaborating with risk management teams to identify and address operational risks.
Credit Processing Associate
Muthoot Finance Limited
10.2018 - 11.2019
- Applied KYC and AML procedures to ensure regulatory compliance in client transactions.
- The role involved a strong emphasis on credit policy compliance and customer relationship management.
- Demonstrated strong attention to detail and accuracy in maintaining credit files and processing client information.
- Developed analytical skills through financial data analysis and credit risk assessment.
- Team contributions supported the analysis of financial data, adherence to credit policies, and the preparation of reports on credit risk and outstanding balances.
Education
B.Com -
Maharani's Arts College For Women
Bengaluru04.2018
Skills
- Account Maintenance
- Attention to detail
- Communication Skills
- Financial reporting
- Coordination
- Corporate actions
- Credit Analysis
- Customer Relationship Management
- Detail-oriented
- Determination
- Data Analysis
- KYC and AML
- Excel
- Interpersonal skills
- Operational Efficiency
- Positive Work Ethic
- Problem Solving
- Reconciliations
- Risk Management
- Risk Assessment
- Securities Processing
- Trade Lifecycle Management
- Settlement
- Reconciliation
- Regulatory Compliance
- Power BI
- Team Building
- Decision Making
Languages
English
Hindi
Kannada
Personal Information
Date of Birth: 09/06/97
Certification
- NISM CALM - Certified Anti-Money Laundering Manager
- NISM SORM - Securities Operations and Risk Management
- NISM - Depository Operations
- NISM - Equity Derivatives
Timeline
Assistant Manager
IndMoney Brokers Private Limited
08.2023 - Current
Senior Operations Executive
WealthyIN Broking Private Limited
01.2023 - 08.2023
Operations Executive
Way2wealth Brokers Private Limited
11.2019 - 01.2023
Credit Processing Associate
Muthoot Finance Limited
10.2018 - 11.2019
B.Com -
Maharani's Arts College For Women
Similar Profiles
KARTHIKEYAN KKARTHIKEYAN K
Assistant Manager at INDmoney private limitedAssistant Manager at INDmoney private limited
Biman DeyBiman Dey
Regional Business Development Manager at Good insurance brokers private limited(Heart beat brokers)Regional Business Development Manager at Good insurance brokers private limited(Heart beat brokers)
Sarvesh DixitSarvesh Dixit
Senior Relationship Manager at Policybazaar Insurance Brokers Private LimitedSenior Relationship Manager at Policybazaar Insurance Brokers Private Limited
Yaman KalraYaman Kalra
Senior Project Manager at Define LabsSenior Project Manager at Define Labs
Hunain KhaleelHunain Khaleel
Product Manager at IBMProduct Manager at IBM