Pratiksha Hande

Global Assets servicing Risk management –

· Managed and mitigated risks across global asset servicing and corporate actions, ensuring smooth operations and compliance within the risk control team.

· Acted as the central coordinator between corporate actions teams, settlements, and traders, efficiently resolving stock and cash breaks and facilitating clear communication.

· Assigned and validated FOCUS claims and breaks to appropriate teams using a specialized application, ensuring accurate routing, efficient handling, and timely resolution.

· Prepared daily global risk and claim reports for senior management, providing insights and ensuring accurate risk tracking.

· Conducted in-depth investigations of incorrect cash and stock breaks, performing root cause analysis and mitigating potential financial impacts.

· Oversaw client money allocations and collaborated with line teams to ensure correct treatments within tight deadlines, while also managing regulatory reporting, account opening, and dormancy clearing to reduce fraud risks.

Corporate Action (Mandatory Research)-

· Managed core corporate action events, including mergers, spin-offs, bonus issues, assimilations, tenders, repurchases, exchanges, rights issues, DRIP, DVOP, cash dividends, name changes, and more, with validation using MT564 and MT567.

· Supported the asset servicing department of a custodian bank by conducting research and validation on announced events.

· Verified and reconciled key event details at ISIN, CUSIP, and account levels to ensure accuracy.

· Confirmed security details with respective country agents for validation.

· Set up, modified, and resolved issues related to security announcement details.

CA Proxy voting and class action –

· Acted as the Subject Matter Expert (SME), ensuring daily workflow monitoring, balanced workload distribution, and effective deadline management, while coordinating with the team and training new members.

· Analyzed, prioritized, and managed work volumes to ensure both internal and external deadlines were consistently met.

· Collaborated with internal and external stakeholders, including proxy vendors, investment managers, proxy voting agents, sub-custodians, and industry organizations, to define processes for exception cases and align with best practices.

· Served as a key intermediary between clients and the market, setting up meeting events and managing communication related to proxy voting.

· Utilized proxy voting software to input key information such as holdings, shares on loan, and client account details, while processing votes through both software and manual methods (e.g., SWIFT MT599).

· Managed and reconciled client holdings for corporate actions and sent notifications to eligible clients; reviewed and actioned SWIFT (MT599) messages from custodian banks.

· Proactively supported firm and client class actions by preparing and reconciling trade history and journals data, submitting required documents to the claim and recovery team, and addressing pending settlements, court hearings, and participation requests.

· Played a key role in onboarding, training, and mentoring new team members to ensure consistent performance and operational excellence.

• Execute all types of trades on the market
• Supporting settlement Cycle of trade and Interacting with Investment Manager to resolve the issues
• Review statistics on discrepancies and failed trade reports received from broker and custodian on daily basis
• Responsible for sending Negative position report of trades to client service team in timely manner
• Reconciling trades booked by our system as per client's instruction
• Ensuring that query resolutions are action taken and closed out within the stipulated time
• Helping colleagues in product knowledge, resolving queries, maintains objectives and streamlining processes to ensure smooth functioning of operations
• Communicate with fund management team to meet the accounting deadline as per client wise
• Provide service to clients on timely basis
• Developed and presented reports to aid decision-making
• Answered phone calls from potential customers to direct to appropriate products or departments