Summary
Overview
Work History
Education
Skills
Certification
Internship
Timeline
Generic

Ramyashree K S

Bengaluru

Summary

Detail-oriented Financial Services Professional with 2 years in U.S. brokerage operations, focused on regulatory processes and client case analysis. Holds MBA and certification in Investment Banking Operations, with expertise in AML/KYC, derivatives, trade lifecycle, and corporate actions. Skilled in risk identification, issue analysis, and escalation management, ensuring compliance with regulatory guidelines.

Overview

4
4
years of professional experience
2
2
Certifications

Work History

• Process Analyst – Complaint Management

Broadridge Financial Solutions (Client: Morgan Stanley)
Bangalore
04.2024 - Current

Key Responsibilities:

  • Investigate and resolve regulatory complaints related to brokerage accounts and financial transactions.
  • Analyze client cases to identify root causes and ensure accurate, compliant resolution.
  • Review high volumes of client cases, improving turnaround time while maintaining accuracy in regulatory reporting.
  • Examine transaction records, account activity, and documentation for compliance and accuracy.
  • Handle escalations by coordinating with internal teams to resolve complex cases efficiently.
  • Maintain detailed, audit-ready documentation of case findings and actions taken.
  • Ensure timely resolution of customer complaints according to company policies and regulatory guidelines.

Key Achievements:

  • Consistently met and exceeded service-level agreements (SLAs) for complaint resolution.
  • Recognized for strong analytical and problem-solving skills, contributing to efficient resolution of complex cases.
  • Selected for the Reduced Edit Program, with most case research approved without editor review due to high accuracy and attention to detail.

Assistant Professor

SRN Adarsh degree College
Bangalore
05.2022 - 04.2024

Key Responsibilities

  • Taught subjects like Financial Accounting, Financial Management, Income Tax, and Principles of Management to undergraduate students.
  • Guided students in academic pursuits, fostering understanding of course material.
  • Coordinated internal exams for Management department, ensuring smooth execution and adherence to academic standards.
  • Worked with other faculty members on academic and departmental tasks.
  • Contributed to institutional committees such as Business Lab, ERP Cell, and SHE Cell.
  • Organized B-Quiz competitions during college fest (ASPIRA) and for classes, promoting engagement and knowledge sharing among students.

Education

Master of Commerce - Accounting And Finance

Jain University – Center For Distance Education
Bangalore
12-2023

MBA - Finance And Marketing

Adarsh Institute of Management And Information Tec
Bangalore
09-2021

Bachelor of Commerce - Accounting And Taxation

SSMRV Degree College
Bangalore
06-2018

Skills

AML / KYC Compliance & Fundamentals

Compliance Documentation & Audit Readiness

Complaint Resolution

Escalation Management

Client Case Analysis & Problem Solving

Attention to Detail & Analytical Thinking

MS Excel, MS Office

Certification

Certified Investment Banking Operations Professional

Internship

Sale Representative officer

Tanishq (18th sept 2020   to 15th Nov 2020).

Roles & Responsibilities:

· Customer service,

· Customer relationship management   and

·  Retail operations

Timeline

• Process Analyst – Complaint Management

Broadridge Financial Solutions (Client: Morgan Stanley)
04.2024 - Current

Assistant Professor

SRN Adarsh degree College
05.2022 - 04.2024

Master of Commerce - Accounting And Finance

Jain University – Center For Distance Education

MBA - Finance And Marketing

Adarsh Institute of Management And Information Tec

Bachelor of Commerce - Accounting And Taxation

SSMRV Degree College
Ramyashree K S