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 SkillsBasic knowledge of SQLBloomberg Research and Alteryx
Complaint resolution
Performance improvement
Complex problems analysis
Management information systems
Project development and life cycle
Business administration
Fluent in [Language]
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