Ritika Pandey
Trade Processing, Settlements, Claims Management, Risk & Compliance, Sanction Screening, Operations Management And Team Management
New Delhi,Delhi
Summary
Seasoned Settlements, Trade Processing, Risk, and Compliance professional with over 17 years of experience managing diverse securities across the APAC and EMEA regions. Possesses a results-driven approach, exceptional problem-solving abilities, and a strong aptitude for root cause analysis. Proven expertise in team management, capacity planning, and fostering team cohesion to achieve organizational goals. Committed to driving efficiency and compliance in fast-paced financial environments.
Overview
17
17
years of professional experience
2001
2001
years of post-secondary education
2
2
Languages
Work History
Manager Trade Processing (Middle Office)
Citi Services India Pvt Ltd
New Delhi
08.2021 - Current
- Monitored Equity & Fixed Income trades for settlement purpose, liaising with custody and counterparts in case of any discrepancy and escalation.
- Handled Buy- in- trades
- Handled Placemen and IPO trades.
- Managing Manual Cash Payments
- Supervising allocation of responsibilities and day-to-day scheduling.
- Managed client onboarding processes for smooth integration.
- Addressed and resolved issues from clients, custodians, and brokers.
- Regularly updated key performance dashboards to ensure accuracy.
- Monitored compliance standards and optimized workflows to address inefficiencies.
- Updated KPI dashboard and present monthly performance KPI to Oversight and Client.
- Analysis gap between clients and offshore teams participated in discussion call and fixed issues.
- Reviewed the existing procedure s and suggested changes/amendments/improvements.
- Conducted team meeting/huddle/Individual meetings provided feedback and suggested necessary action steps and further improvements.
Team Leader
BA Continuum India (Bank of America)
09.2017 - 08.2021
- EMEA Securities Settlements
- Responsible for Pre-matching, Settlements, Sufficiency, Depot Transfer, FOP and Margin payments
- Minimizing market, credit, liquidity and operational risk to its minimum
- Working on Equities and Fixed Income Products
- Appreciated for overall process improvement from biggest client
- Appreciated for providing resolution of long pending issues from most critical client
- Appreciated for smooth handling of huge volumes from the top management
Senior Analyst
Wipro BPS (Client -CITI BANK)
05.2016 - 12.2016
- KYC/AML, Parent Uplift
- Global coordinator for multiple KYC Remediation projects
- Leading APAC global calls to set up processes
- Appreciated for the setting up the entire process in a very quick span
- Awarded the top performer status in Wipro for Q3 FY 2016-17
Associate
Goldman Sachs Private Limited
11.2014 - 03.2016
- Liquidity Management & Vendor /Bank Account Management
- Reducing risk exposure while dealing with the agent banks covering all KYC and AML requirements
- Establishing structure for risk reviews of the agent banks and their periodic review
- Complying with KYC/AML, FATCA & SANCTION Regulation
- Rewarded for setting up project structure and processes from ground zero for Vendor Management in FY 2014-15
- Organized & managed 5 vendor meetings to identifying & mitigate risks
- Achieved 100% reduction in oversight tasks from Q1 to Q3 of FY 2015-16
- Closed 5 Risk/Incidents in SIMPL from Q1 to Q3 of FY 2015-16
- Cost saving by aggressively identifying risky vendors and off-boarding them
Sr. Business Analyst
Deutsche Bank
07.2008 - 11.2014
- Data Management
- Static set up of securities, accounts, and broker using BBG & IDC
- Providing relevant & accurate details to PM within minimum time frame
- Corporate Action
- Overseeing corporate action process for APAC equities
- Setting up and processing Entitlements for mandatory events, voluntary events & dividend processing
- Reconciliation & Pricing
- Ensuring all reconciliations breaks are investigated and resolved in a timely manner
- Monitoring cash activity of the fund and preparing broker reconciliation
- Confirmation & Settlements
- Ensuring all trade financials are confirmed with executing Brokers and accordingly posted to the accounting system
- Voluntary Projects
- SPARKS – Setting up Key-Operating-Process (KOP) into company portal
- Allegro – Migration of trade support process to State Street
- APAC Consolidation – Merger of APAC & EMEA SSI
- Aladdin – Implementation of accounting system from Black Rock to Deutsche
- Awarded Best Performer of the Month consistently in every financial year
- Leader of Club8 committee (fun-committee) of the company
- Organized and performed in various cultural & annual events of the company
Education
MBA - Economics & Finance
Apeejay Institute of Management & IT
BBA - undefined
Maharshi Dayanand University (MDU)
A.I.S.S.C.E - Class XII
C.B.S.E
New DelhiA.I.S.S.E - Class X
C.B.S.E
New DelhiSkills
- Trade Settlement Management in Equities and Fixed Income across EMEA & APAC regions
- Working in High Volume and Time Critical operations
- Problem Solving and Root Cause Analysis
- Trade Operations and Risk Management
- Managing team of 12 FTs
- Problem Solving and Root Cause Analysis
Accomplishments
- Multiple Gold, Silver and Bronze Award winner in getting the project live/ saving Buy In cost and by working on critical issues.
- Multiple positive recommendations from client & oversight
Timeline
Manager Trade Processing (Middle Office)
Citi Services India Pvt Ltd
08.2021 - Current
Team Leader
BA Continuum India (Bank of America)
09.2017 - 08.2021
Senior Analyst
Wipro BPS (Client -CITI BANK)
05.2016 - 12.2016
Associate
Goldman Sachs Private Limited
11.2014 - 03.2016
Sr. Business Analyst
Deutsche Bank
07.2008 - 11.2014
MBA - Economics & Finance
Apeejay Institute of Management & IT
BBA - undefined
Maharshi Dayanand University (MDU)
A.I.S.S.C.E - Class XII
C.B.S.E
A.I.S.S.E - Class X
C.B.S.E
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