PRIYA KUMARI

Capital Market Operations: Regulatory Reporting and Operations

Ensuring Compliance at LSEG SEF:
I help keep LSEG SEF is compliant with the Dodd-Frank Act and CFTC regulations in the fast-paced capital markets.

SEF Regulatory Obligations and the Dodd-Frank Act:
I oversee regulatory obligations under the Dodd-Frank Act, ensuring we follow CFTC rules, including Parts 43, 45, and 16.

Part 45: "Regulatory" Reporting:
I manage reporting under Part 45, focusing on capturing key economic details (PET data) for every swap on our platform, ensuring transparency and compliance.

Part 43, "Real-Time" Reporting:
Part 43 requires us to share PET data in real-time with a Swap Data Repository (SDR) right after execution, maintaining transparency while keeping counterparts anonymous.

NFA Reporting and Surveillance:
We also handle NFA reporting, providing the National Futures Association with detailed data for industry oversight.

FXI Program and Operations Enhancement:
Through the FXI Program, I enhance technology to meet FX asset class demands, developing features like pre-trade credit checks and real-time price streams.

Introduction to Cleared NDFs:
I played a key role in introducing cleared NDFs, expanding our product offerings and creating growth opportunities for clients.

Enhancing support and streamlining processes:
I optimize support by streamlining processes and centralizing resolver groups, allowing clients to self-serve and reducing the load on development teams, improving overall efficiency.

Part 16: Volume Reporting:
I handle Part 16 Volume Reporting, providing daily volume metrics to the CFTC.

• An end-to-end financial data and service provider with a global workforce of over 25,000 experts
• Managing a team of more than 25 people in a variety of roles to ensure seamless operations
• Dividends, capital changes, shareholding disclosure, takeover panels, coupons, and global ETFs are all managed corporate action events
• The use of news wires, issuer websites, company websites, stock exchanges, third-party partnerships, internal and external data sources, etc., to gather data and to build a database that can be supplied to clients
• Accuracy, timeliness, and completeness were all maintained in the content quality
• Content transformation, data analysis, and reporting
• Increased revenue and customer satisfaction by promoting customer care via email, phone, chatroom, and CRM technologies (service cloud/Salesforce)
• New data coverage for new content sets
• Maintaining a 0% error rate is a requirement for high-quality data
• Refinitiv Eikon, Datascope Equities, DataStream, Thomson Reuters One, Thomson Reuters Knowledge Database, Corporate Action Master, Numerical Data Analysis, Refinitiv Workspace, Workday, Ascent, Datascope Select, Matterhorn are some of the applications and data platforms used
• Driven by TEN (Timeliness, Efficiency, and Naturalness) customer service pillars to delight customers and increase next generation customer service KPIs and service quality
• Improved corporate action processes under control
• Involved in the administration of remote teams, the evaluation of employee performance, the management of evaluations, the management of KPIs and SLAs and the management of the skill matrix
• Completely expand equities and fixed income offerings to meet increasing customer demand for faster, more comprehensive coverage of this large-scale and diverse market segment
• Created a full-scale equity and fixed income offering expansion
• Strategically, we have positioned ourselves for success by developing a completely integrated end to end team of domain and financial experts
• It is the responsibility of the equity and fixed income team to keep track of all company activity
• Improved Content Quality (accuracy, timeliness, and completeness) will be enabled, as well a faster expansion of New Data Coverage, as well as a catalyst for the execution of Content Transformation programs and the seamless integration of cross-content capabilities upon creation
• Integrity and cutting-edge technology work together with third-party data partnerships and human knowledge to power global financial markets with dependable, up-to-date information that's always on time and always complete
• It is the responsibility of the Corporate Actions Operations team to produce, curate, and service corporate action data
• Customer assistance via email, phone, chat, and a CRM application are all options (service cloud)
• Organizes, collects, examines, and preserves specialized financial market data
• Taking care of queries from both internal and external customers
• Using a combination of technical and financial expertise, enter and update data into databases in a timely manner
• Data queries resolved by communicating and collaborating with both internal and external stakeholders
• Learning about data-related difficulties.Mentoring Individual Contributor Project Management Change Management Business, Service & Operational Excellence Client Relationship Management Content Transformation

• On behalf of client - Société Générale
• With over 710,000 employees worldwide, team offers end-to-end solutions for managing the whole trade lifecycle
• I am an expert in the equity and fixed income markets
• Distributed responsibilities among co-workers and departments
• Progress was evaluated and goals & tasks were discussed at meetings
• Discussed the company's long-term strategy as well as short-term objectives
• Lead equity quality plan project
• Back-office tasks was streamlined as part of an activity-based model initiative to decrease costs, time, and achieve success
• In order to meet SLA and KPIs, 3X3 matrix charts, operational excellence, management trainings were initiated
• Attended weekly meetings with clients to help them brainstorm ideas to improve the process
• Excellent judgement, excellent time management, capacity to work well in a team, and the ability to handle multiple tasks simultaneously are all assets
• Assisting the manager with hiring, organizing, and training
• Implemented a number of streamlined activities and initiatives
• Help the team realize its full potential by getting to know them
• Ensuring the timely delivery of information
• Organizing cross-training sessions and ensuring that the team has enough assistance
• Suggests process improvements to management based on the needs of customer groups
• To ensure project goals are met on time and within budget
• Regularly assessed the knowledge and skills of employees, and offered assistance and training to those who needed it
• By moving an equity settlement (including ETFs) amounted to 5 FTE jobs from Paris to Bangalore in 2014, I was able to establish and maintain a stable procedure on my own
• For Société Générale (client), I produced high-quality reports for the front office, sales team, product control, and management on OTC, exchange, ETFs, lending, and borrowing transactions
• Dealt with trade confirmation, pre-matching, stock position, BUY-in risk, trade failures management, treasury funding, custodian, payment, receipts, NOSTRO & VOSTRO funding, cash and stock SSI creation, and breaks reconciliations
• Execute financial transactions and reconcile accounts using a variety of reporting tools
• Keeping track of and making changes to sensitive client data
• Have a solid understanding of the systems, screens, reports, and procedures associated with confirmations, settlements, pre and post settlement activities
• Take advantage of the opportunity to exchange knowledge with your co-workers
• Assist with sorting mail, faxes, email, and quick messaging queues
• Process requests and resolves difficulties with clients and colleagues
• Make sure that all procedures and controls are being followed and maintained
• Investigation and resolution of trade exceptions in a timely manner
• The testing and implementation of new software releases is supported
• Take steps to reduce the possibility of an incident with a client and the problems that can result from it
• Execute projects and activities as allocated
• Timely completion of all training and compliance programs is essential to my success
• To stay on track with deadlines, use the list to organize my work
• Use the opportunities to improve and automate whenever possible
• To guarantee a constant level of service, keep all procedural documentation up to current and accurate
• Ensure that settlements are correctly handled by working with clients
• Using various payment systems, such as IRIS, SWIFT, STARS, Debit and Credit advice, etc
• Confirm and route payments and receipts
• Involved as a departmental trouble-shooter to ensure smooth operational running and to anticipate potential flaws in processing operations as suitable controls are in place
• Any settlement or reconciliation issues that the incumbent is unable to resolve will be escalated as soon as possible to the Manager for resolution
• Reviews request for verification from the auditor
• Provide cover for absenteeism and periods of high volume by becoming proficient in multiple processes within the department
• The ability to comprehend and follow the entire trade lifecycle
• The ability to communicate effectively with clients, team members, third parties, middle office, front office, back office and management
• A wide range of markets are serviced, including those in the Asia-Europe-North America-South America (LATAM)-Middle East-Africa (MEAF), emerging markets
• There are many other types of trades that can be conducted, including over the counter, exchange, stock lending, stock borrowing, and trades including ETFs and derivatives
• Team management, employee performance evaluation, administration of the appraisals, remote team managing the KPI's, SLA's and management of the skill matrix all fall under my purview
• These include Citidirect, ERGV, Gloss, Eole, Alise, Darwin, Gate, BDR, Crest, Cyber Securities, Fedwire, Stars, NXG, GDS, PSL, Platon, Euclid PC, Galaxy, Easyway, Euroclear, Cascade PC, BPS, Impact, SRG, Parel Net, Fundsettle, HKMA, Jasdec, TSS, Global Fund Trading, Bloomberg, SWIFT, DTC, Reuters, so on are the applications used
• Derivative servicing oversight, including clearing (Exchange Traded Derivatives and Cleared OTC), collateral management and trading on the over-the-counter market (OTC)
• Make sure that employees are well-trained and motivated
• Ensured a globally consistent and tightly managed environment by working with key stakeholders both internally and externally
• Coordinate team activities with front office, back office, middle office, portfolio, risk, and IT departments.Revising existing procedures and enhancing them for maximum effectiveness
• Account on-boarding with both internal and external partners is a key aspect of the job
• Analyse market activities in real time to determine the fair worth of goods and services
• Coordinate industry changes with vendors, executing brokers, custodians, FCMs, CCPs, and senior management
• Daily departmental control reporting is reviewed and approved by the signatory
• The point of contact for trading desks, brokers, custodian banks, middle office, back office and other business partners to ensure operational issues are dealt with in a timely and efficient manner
• Internal and external customers and vendors were able to openly communicate with each other when necessary
• Support the development and evaluation of departmental policies and procedures as needed
• Participates in high-profile meetings with department managers, directors, VPs, SDLs, and Global Head, as a subject matter expert
• Review and provide comments to management and employees on quality mistakes.

End-to-end trade life-cycle management solutions supplier with global workforce of 150,000 employees

• Processed and cleared fixed income product (primarily bonds) for collateral, buy and sell, repo & reverse repo, government securities, and T-bills for Asian markets
• Dealt with trade validation, trade confirmation, sending instructions, trade settlement, stock position, BUY-in, trade failures management, and cash and stock break reconciliation
• Interacted with customers, sales representatives, traders, front office, middle office, back office and other business partners to handle requests and address concerns
• I computed and sent stock position and cash projection file for government bonds to front office (traders), salespeople and clients
• Handled NOSTRO & VOSTRO funding, treasury funding and custodian business
• Day-to-day checks on all trades flown to back office system for collateral financing (general collateral financing), buy & sell, lending and borrowing, and repo & reverse repo positions with traders
• Ability to operate both individually and as part of team in order to establish connections and communicate effectively with business partners
• I verified all stock positions with traders & sales team daily for repo & reverse repo, general collateral financing, buy & sell, lending, and borrowing trades on back-office system.
• Eole, Alise, Sunguard, HKMA, JASDEC, and Galaxy are some of applications that are used.