Rahul Pandey
Trade Support & Settlement
Virar West
Summary
Dynamic investment banking operations professional with extensive experience in risk management and stakeholder engagement, actively pursuing senior leadership roles. Recognized for exceptional analytical capabilities and a steadfast commitment to operational excellence, consistently driving process optimization and effective risk mitigation strategies. Proven success in leading diverse teams, implementing innovative initiatives, and navigating complex regulatory environments. Eager to leverage expertise in a progressive organization that values adaptability and technological advancement to enhance efficiency and achieve strategic goals.
Overview
13
13
years of professional experience
Work History
Director, AVP
Morgan Stanley
07.2021 - Current
- Managing four to Five team members, ensuring effective supervision and performance.
- Overseeing equity and bond settlements in the Asian markets, excluding HK and JPN, ensuring timely escalation and resolution of issues for high-value clients.
- Handling queries from institutional and Prime Brokerage clients.
- Coordinating FX transactions related to security trades on restricted currencies, ensuring timely execution.
- Ensuring daily client money segregation for regulatory compliance.
- Managing ADR and GDR conversions across multiple regions.
- Minimizing breaks and fails for smooth business operations.
- Supervising the Payments and Settlements unit to maintain an efficient operating model.
- Ensuring all transactions comply with regulatory and organizational policies.
- Reviewing and improving department processes to enhance efficiency and reduce turnaround times.
- Leading projects to streamline or eliminate outdated processes.
- Experienced professional in investment banking operations, risk management, and stakeholder management seeking senior roles.
- Demonstrated leadership, analytical skills, and commitment to operational excellence.
- Proven track record in leading teams, implementing initiatives, and navigating regulatory environments.
- Proficient in adapting to market changes and leveraging technology for efficiency.
- Seeking to contribute to a forward-thinking organization and excel in investment banking.
- Trained and supported new team members, maintaining culture of collaboration.
- Collaborated with cross-functional teams to drive successful completion of complex projects within deadlines.
- Mentored junior associates, fostering professional growth and helping them reach their full potential.
- Consistently maintained strong relationships with clients, ensuring clear communication and timely updates on project progress.
- Implemented process improvements that led to significant time savings and increased accuracy in deliverables.
- Streamlined operational efficiency by identifying areas for improvement and proposing actionable solutions.
- Maximized performance by monitoring daily activities and mentoring team members.
Sr, Analyst
BNP Paribas
10.2018 - 07.2021
- Ensured timely booking of deals from the traders, sales, and RM for equities, bonds, structured products, commodities, and options transactions, and pre-matching to minimize settlement risks.
- Verified trade confirmations to reduce discrepancies and operational errors.
- Obtained management approval for waivers to capture the commissions on trades, ensuring compliance with market regulations, and mitigating risks.
- Addressed trade discrepancies promptly, minimizing financial and operational risks.
- Managed funding of accounts to mitigate liquidity risks, and ensure timely settlement.
- Resolved queries and managed escalations, minimizing operational disruptions.
- Generated critical reports to identify potential risks and areas for improvement.
- Performed four-eye check to ensure that sales commissions are captured accurately in the trader's P&L.
- Updated counterparties' details to reduce counterparty and settlement risks.
- Resolved reconciliation breaks promptly to minimize exposure to settlement risks.
- Participated in testing and cross-trained team members to enhance operational resilience.
- Enhanced team productivity by streamlining workflow processes and implementing time-saving strategies.
- Mentored junior analysts, fostering professional development while enhancing overall team performance.
Sr, Analyst
Deutsche Bank
03.2013 - 10.2018
- Managed pre-matching, settlements, and post-settlement tasks for Euroclear and EMEA domestic markets to reduce operational risks, and ensure seamless trade settlement processes.
- Proactively adjusted depo realignment based on trade activities, such as deliveries and failed trades, to improve inventory management and prevent inventory imbalances.
- Improved transparency and accountability by promptly reconciling and resolving Nostro and Depot breaks, leading to effective breaks management.
- Reduced payment-related risks by accurately creating payment instructions using SWIFT formats, which facilitated efficient funds management, and resolved cash breaks effectively.
- Promoted operational flexibility and resilience by training team members in multiple areas, reducing dependency on individual expertise, and lowering staffing risks.
- Introduced risk management strategies to enhance operational efficiency and minimize potential disruptions in securities processing.
Education
Bachelor of Management Studies (BMS) -
PD Lions College of Commerce & Economics
01.2011
Investment banking certification - Investment Banking Operations
Stratadigm Education and Training Pvt. Ltd.
01.2012
Junior college second year (HSC) - undefined
PD Lions College of Commerce & Economics
01.2008
Skills
- CTB Knowledge
- Trade settlements
- UAT Testing
- Client Money
- Trade support
- Control & Governance
- Collaboration
Awards Activities
- Received SPOT Light DB award twice for cross-training in various functions, managing daily business as usual (BAU) without issues, and creating backups efficiently.
- Recognized with a SPOT Light Award in MS for collaborating with CorpAct team in resolving issues resulting breaks and fails back of CA Event, reducing to zero.
- Received multiple MY Thanks and Appreciations for prompt issue resolution and contributions to PBI initiatives.
Timeline
Director, AVP
Morgan Stanley
07.2021 - Current
Sr, Analyst
BNP Paribas
10.2018 - 07.2021
Sr, Analyst
Deutsche Bank
03.2013 - 10.2018
Investment banking certification - Investment Banking Operations
Stratadigm Education and Training Pvt. Ltd.
Junior college second year (HSC) - undefined
PD Lions College of Commerce & Economics
Bachelor of Management Studies (BMS) -
PD Lions College of Commerce & Economics