Poonam Kamble

Cash management of Equity Trades

Get files of trade booked from broker (SG, GS, BAML, BNP, DB, WF, HSBC and Barclays) and save into the system. File drop manually into Xceptor/Babel and get output files and save into the system. Do sanity Check for Initial margin, variable margin, COB date, PAI.Check uploaded files flow down into CBSU or not. If not then upload manually into CBSU.File will flow down to FSDV. Check into FSDV and take snap of CBSU and FSDV and send sign off email to reconciliation team. Do transaction posting for WHEM collateral, OCEAN collateral, Aviva collateral. Do 10 GMT cash sign off.

Equity Trade Confirmation.

To mitigate economic affirmation and confirmation risk in equity derivative product, ensuring trade details are affirmed with the client by T+2 basis. Mitigate the risk of any key economic differences between client and prime broker. Follow up with clients to execute the legal confirmation issues by Goldman Sachs. Assist in the resolution of any exceptions that may arise in a timely manner. Proactively partner with internal groups (sales, trading, compliance) to execute confirmations. Take responsibility for maintaining timeliness in accordance with market standards and regulatory requirements.

Credit Administration and Credit Monitoring.

Provide services for defaulter check of corporate clients to RM (Relationship manager). Preparation of first express renewal note and CAL after release of minutes from committee. Doing loan Disbursement into system (Finacle or ambit) - borrower code and loan account generation, subsequent disbursement into system. Capturing and updating of covenants for LSM - limit set up memo and Term loan into C-mart. Upload UFCE (Un-hedge foreign currency exposure) certificates of clients on perform for quarterly and annually. Tracking and capturing and creating of events into C-marts for UFCE certificates. OFI-FFR preparation for clients and Tracking, capturing and creating events for OFI-FFR reports into system till loan gets repaid. RBI annexure incoming and outgoing. CERSAI filing - Creation, modification, deletion of Charge for Equitable mortgage, register mortgage and hypothetical mortgage. Asset ID creation and security ID creation. Security valuation entries into AMBIT system.

OTC Derivative FX Confirmation.

Production of ISDA paper trade confirmations for all vanilla and FX derivative trades. Incoming validation and matching of paper and electronic trade confirmation. Ensuring the firm is fully compliant with regulatory confirmation timeliness targets. Responsible for the effective management and resolution of all affirmation and confirmation discrepancies. Investigate and resolve all differences in a timely manner with clients. Liaison with desk, Sales team, Trade Support, Settlements, and other departments) to resolve client queries. Preparation of Local and Global MIS report (daily activity) for distribution to the management.

Taking all responsibility of administrative work related to teaching. Checking all examination papers related to Product quality management, Export and Import, Rural marketing subjects. Supervising Mumbai university and college exams. Teaching Product quality management, export and import, rural marketing, macro and micro economics to B.COM and BMS students.

Equity Trade Reconciliation.

Reconciliation of accounts on a daily basis between Kondor/Geneva (trade capture system also called K+) and the prime broker/custodian statements. Reconciliation of trades positions and cash between K+ and Prime Broker statements. Follow up with the Prime Brokers/Fund Managers to seek clarifications on outstanding breaks. Uploading Trades into the K+ either manually or through auto loading of files received from Manager /Prime Broker. Fail trade monitoring and settlement. Reconciliation of corporate actions trades (i.e Right issue, bonus shares, splits, amalgamation, dividends, merger and acquisition.)