ROHINI IYER

• Led end-to-end bond operations, including inventory management, cash flow oversight, and timely execution and reporting of corporate bond trades on NSE and BSE, ensuring full compliance with SEBI regulations.
• Managed the OBPP (Online Bond Platform for Private Placement) by overseeing daily functionality, coordinating with tech teams to promptly resolve technical issues, and ensuring a seamless user experience for clients and distributors.
• Collaborated with Accounts and Compliance teams to ensure accurate and timely processing of Delivery Instruction Slips (DIS), funding for purchases, and adherence to regulatory and audit requirements.
• Streamlined operational workflows by identifying inefficiencies, mitigating potential risks, and implementing process improvements that enhanced overall productivity and control across the platform.
• Directed and mentored the operations team, setting performance benchmarks, fostering interdepartmental collaboration, and ensuring robust communication with internal and external stakeholders.

Regulatory Limits Monitoring and Communication:Spearheaded the monitoring and calculation of key regulatory limits (SEBI Limits, SID Limits, Internal Limits), ensuring stringent compliance and proactively communicated critical updates to fund managers, supporting strategic decision-making.

Dealing Records Maintenance:Ensured meticulous maintenance of dealing records for audit purposes, implementing rigorous documentation standards to support comprehensive audits and uphold financial integrity.

SOPs Management:Administered the continuous enhancement and validation of Standard Operating Procedures (SOPs) for dealing activities, driving process optimization and ensuring alignment with industry regulations and best practices.

Audit Query Handling:Expertly managed and resolved complex audit inquiries related to trading, allocation, and execution, leveraging robust problem-solving capabilities to maintain transparency and uphold compliance standards.

Inter-Operational Activities:Facilitated seamless fund operations by assisting fund managers in tracking capital inflows, redemptions, and conducting weekly polling activities, ensuring operational efficiency and accuracy.

End-to-End Deal Processing:Directed the end-to-end execution of trades, encompassing order management, trade execution, and allocation, while rigorously monitoring regulatory compliance and ensuring precision in all financial transactions.

Market Network Development:Cultivated and leveraged a robust network of market participants including brokers, fund houses, and industry stakeholders to enhance price discovery, assess market demand, and address regulatory inquiries effectively.

Core Dealing Activities and Risk Management:Managed core dealing functions for fixed income instruments (CPs, CDs, NCDs, etc.), overseeing timely trade settlements and utilizing advanced dealing platforms to optimize pricing strategies and mitigate risks.

• Monitored SEBI investment limits daily as per SEBI (MF) regulations, ensuring adherence to mutual fund compliance requirements.
• Prepared Violation Manager reports and detailed deviation reports on asset allocation for mutual fund schemes.
• Managed fund manager’s investment calls and monitored shareholdings for necessary disclosures under Substantial Acquisition of Shares & Takeover Regulations, 2011.
• Prepared quarterly deal review reports for mutual funds and conducted daily reviews of brokerage payments and dealer chats.
• Created and monitored investment rules in Bloomberg for mutual fund compliance, based on SEBI and AMFI circulars and SID requirements.
• Ensured compliance with SEBI PMS Regulations 2020 and monitored AIF investment limits, adhering to reporting and disclosure requirements.

• Managed trade settlements, including cash flow preparation for NCDs, CPs, and CDs, while coordinating with exchanges, brokers, and counterparties.
• Prepared and sent trade files to custodians and fund accountants, ensuring timely settlement and reporting.
• Created and maintained master data in Bloomberg for counterparties, commercial paper, and brokers, and provided data for audit requirements.