Prashant Pawar
Dombivali
Summary
A commerce graduate with 6 year of experience in Financial services operation. Good skill in client management and providing solutions for in mutual funds and collective investment funds. Additional qualification of Investment banking, Knowledge of AML. Exploring opportunity in Investment Bank and Finance Industry.
Overview
7
7
years of professional experience
Work History
Specialist Financial Services Operations
SS&C FinTech Services India Private Limited
12.2019 - Current
- Currently working in the Investor Service process which gives entire knowledge of the trade cycle held in the transfer agency.
- I assist with critical client information and manage the trade process operations for our UK mutual fund ISA/UT products.
- This involves processing investor instructions across various management companies held by our clients, while ensuring compliance with both client instructions and regulatory guidelines as per the agreed Service Level Agreements (SLA).
- Allocation of work.
- To ensure that all transactions are placed within the valuation point that is applicable to various management companies.
- Updating our clients' personal information including their addresses, phone numbers, email addresses, and any other pertinent details. It is crucial that we ensure all client IDs are created accurately, and names are amended if any discrepancies are found.
- Updating client dealing and distribution mandate if client instructs to update mandate details.
- Quality check of all work types according to the specifications and rectifying the errors, thereafter settling the deal. adhere to follow standard procedures when updating any client details, ensuring all requirements are met throughout this process.
- Reissue CASS9 Payment via Cheque/Telegraphic Transfer/Foreign TT.
- Quality checking of payment work to not make a duplicate payment or avoid the payment breaches, Follow AML process.
- Also any Report of compliance activities (SAR). Work in line with SLAs and KPIs.
- Followed all company policies and procedures to deliver quality work.
- Conducted regular reviews of operations and identified areas for improvement.
Associate Trade Operations
Atos-Syntel Services Pvt Ltd.
09.2017 - 12.2019
- Worked as Associate in Investor Services process Transfer agency
- Looks after all the clients queries related to the clients account such as providing valuation statements, transaction statement, providing historic prices of the funds, fund's performance.
- Meeting daily Service level Agreement (SLAs).
- Followed Management Company and FCA guidelines.
Education
Certified Investment Banking Operations Professional - Asset Management Corporate Action, Trade Life Cycle Reconciliation
Imarticus
02.2021
Bachelor of Commerce -
Mumbai University
04.2017
H.S.C.(10+2) -
Maharashtra Board
03.2014
S.S.C.(10) -
Maharashtra Board
03.2012
Skills
- AML Payment Authorization
- CASS9
- Collective Investment Scheme (ISA&UT)
- Excel
- Frontier
- Recon
- FSU
Accomplishments
- Above & Beyond Award, 04/01/24
- Spot Award, 07/01/22
- Spot Award, 02/01/21
- Performance Award, 02/01/20
- HPC presentation win for Month, 04/01/19
- Champ Award, 03/01/18
- Spot Recognitions for good investigation, also project completion before deadline.
Hobbies and Interests
- Reading
- Drawing
Languages
- English, Full Professional Proficiency
- Hindi, Full Professional Proficiency
- Marathi, Native or Bilingual Proficiency
Timeline
Specialist Financial Services Operations
SS&C FinTech Services India Private Limited
12.2019 - Current
Associate Trade Operations
Atos-Syntel Services Pvt Ltd.
09.2017 - 12.2019
Certified Investment Banking Operations Professional - Asset Management Corporate Action, Trade Life Cycle Reconciliation
Imarticus
Bachelor of Commerce -
Mumbai University
H.S.C.(10+2) -
Maharashtra Board
S.S.C.(10) -
Maharashtra Board
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