Rohit Surve
Business Operations
Goregaon, Mumbai
Summary
Profile summary Detail oriented Operations professional with 15+ years of work experience leading a team.Offers expertise spanning business administration achieving optimal results with competent planning, organization and solutions-o riented approach.
Overview
15
15
years of professional experience
3
3
Languages
Work History
Team Leader
State Street Corporate Services Mumbai Private Limited
09.2022 - Current
- Work Profile Trade Processing, Reconciliation and Investment compliance in derivative pertaining to US clients
- Responsibilities
- Preparing investment compliance result in accordance with investment guidelines and regulatory requirements of SEC
- Responsible for utilizing various methods to reconcile account discrepancies
- Researching discrepancies and updating accounts with accurate information
- Providing review and comments to the clients for alerts and warnings regarding compliance violations
- Reviewing client reports created by other associates and performing a second eye check
- Resolve reconciliation discrepancies in a timely manner
- Responsible for identifying any unusual or potentially suspicious transaction activity and reporting and/or escalating in accordance with the set procedure
- Ensuring proper reports are made and accordingly updated in the Dashboard for client’s view
- Research on critical descriptive information provided by various data sources –
- Prospectus from Perfect Information, Term sheet from Banks & Websites, and clearing agencies such as Bloomberg
- Preparing and reviewing CFTC and Segregation on daily and monthly basis and communicating to the clients in case of discrepancies
- Preparing Monthly and IRC results
- Currently getting trained on UCITS clients
- Handling team- managing performance, weekly review with the team, identifying areas of development/training and arranging training if required, motivating by appreciating team members on their achievement & hand holding in the areas of improvement.
Designation Executive
Protean eGov Technologies Limited
08.2011 - 08.2022
- NSDL e-Governance Infrastructure Limited, Profile
- Acting as an operational interface between the regulator Pension Fund
- Regulatory and Development Authority (PFRDA) and other National Pension
- System (NPS) intermediaries such as Point Of Presence (POP), Pension Fund
- Managers, Trustee Bank, Annuity Service Providers, etc
- Monitoring and ensuring compliance applicable laws including SEBI
- Regulations, Circulars, guidelines, Company Law, Information
- Technology laws with regards to Mutual Fund, NPS and Depository
- Issuing of unique Permanent Retirement Account Number (PRAN) to each subscriber, maintaining a database of all PRANs issued and recording transactions relating to each subscriber's PRAN
- Recordkeeping, Administration and customer service functions for all subscribers of the National Pension System (NPS)
- Responsibilities
- Preparation of various Weekly/Monthly/Quarterly/Yearly and Ad hoc MIS reports for Management & clients (i.e
- Regulator / Banks / Financial Institutions / Govt
- Offices & Different Indian Ministries)
- Preparing and maintaining different Records
- (e.g
- Work / Time Sheet Log
- Queries Log, New Account Opening Logs, Contributions Log etc.) for internal requirements.
Transaction Processing Specialist (Team Member)
J.P.Morgan Services India Limited
03.2010 - 07.2011
- As a Backup Team Leader for 2 Teams (i.e
- Billing & Reconciliation)
- Securities Lending Operations as Broker Billing and resolving, reconciling breaks before matching with the broker
- Responsibilities
- Billing to US as well as International broker for the securities which are lend
- Brokers like Morgan Stanley, Nomura, Barclays, Merrill Lynch, UBS, Goldman
- Sachs etc
- Updating Pricing details of different exchanges
- Co-ordinating with the brokers for the rates and reconciling accordingly
- Updating Corporate Action Details such as Interest Announcements, Dividend
- Announcements, Early Redemption, Partial Repayment/Pool Factor
- Announcement, Repurchase, Exchange of Bonds, Consent Solicitation, Mergers and Acquisitions, Substitution Of Issuer, Name Change, Maturity Date
- Extension, Liquidation, Redenomination, etc
- Research on critical descriptive information provided by various data sources –
- Prospectus from Perfect Information, Term sheet from Banks & Websites, and clearing agencies such as Euroclear, Clearstream, Bloomberg, etc.
Agarkar, Accountant Firm, Designation Junior Officer
Milind, Chartered
10.2008 - 02.2010
- Profile
- Verification & recording the Advances, Payments & Reversal Entries
- Settlement of Vendor claim, Travel claim & petty Cash
- Audit
- Maintaining the Receivables A/c, Expense Ledger
- Personal Skills
- Very fast Learner and ability to adapt to any work environment
- Realistic & a Positive approach towards work
- Prioritizing & Organizing
Education
PGDBA (Post Graduate Diploma - Business Administration
M.Com Degree - undefined
The Universityof
B.Com Degree - undefined
The Universityof
Skills
Technical Skillsundefined
Timeline
Team Leader
State Street Corporate Services Mumbai Private Limited
09.2022 - Current
Designation Executive
Protean eGov Technologies Limited
08.2011 - 08.2022
Transaction Processing Specialist (Team Member)
J.P.Morgan Services India Limited
03.2010 - 07.2011
Agarkar, Accountant Firm, Designation Junior Officer
Milind, Chartered
10.2008 - 02.2010
PGDBA (Post Graduate Diploma - Business Administration
M.Com Degree - undefined
The Universityof
B.Com Degree - undefined
The Universityof
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