Rohit Yawalkar
Thane
Summary
Dynamic professional with over 10 years of experience in Indian capital markets, specializing in client-focused service, post-trade settlements, and seamless operations management. Demonstrating the ability to surpass performance metrics and achieve outstanding results. Focused on utilizing educational qualifications and professional experience to enhance growth and operational efficiency in demanding environments.
Overview
11
11
years of professional experience
1
1
Certification
Work History
Manager - Settlements Operations (Cash Equity)
Morgan Stanley India Company Pvt. Ltd.
Mumbai, Maharashtra, India
12.2020 - Current
- Supervise post-trade settlement operations for the cash equity segment
- Supervised submission of regulatory reports, securing compliance with established protocols across all regulators.
- Tracking all regulatory platforms to manage and assess advancements or updates in current processes
- Coordinated efforts with depositories, exchanges, custodians, and clients to secure successful trade settlements.
- Orchestrated cash forecasting and management initiatives to streamline daily cash flows.
- Streamlined management of idle funds with short-term fixed deposits while using as collateral for events
- Performed daily reconciliation of settlement figures, detecting discrepancies and instituting corrective actions to mitigate regulatory risks.
- Conducting all DP-related operations at Depository terminal
- DIS Issuance, scanning, and submission on NSDL DMS portal
- Addressed audit and inspection inquiries by providing pertinent data and documentation
- Track late and failed trades by administering Auctions, shortages, close-outs, etc.
- Formulating, administering, and sustaining checklists for all scheduled activities to control operational risk.
- Administer block trades by coordinating collateral management, cash forecasting, and tracking obligations associated with exchanges
- Implemented process improvements by automating manual processes to streamline operations and reduce manual hours
Institutional Operations - Executive (Back Office)
Stock Holding Corporation of India Ltd
02.2017 - 12.2020
- Custodial Equity and Debt Trade Confirmations on both NSE and BSE respectively
- Clearing and Settlement of Equity trades of Institutional clients on T+1 day
- Trade Processing: Trade Capture > Matching of Trades > Interact with both internal and external Stake holders to resolve trade and settlement queries > Resolving failed trades proactively > Escalating exceptions and failed transaction to appropriate stake holders for early resolution > Confirming Matched trades on respective exchanges > Ensure that all trades are matched within Market deadlines
- Generate and transfer Data / Reports to Regulatory Authorities (SEBI/FPI Reporting on daily basis)
- Handling Securities Shortages, Hand Delivery trades (DVP), Objection handling, Error Solving, etc.
- Interact with depositories, NSDL and CDSL for pay-in and pay-out process to ensure that trades are settled as per timelines.
- Margin Processing for Institutional deals on T+1 day
- Securities Lending and Borrowing Trades processing (SLBS)
- Processing Buy-Back, Offer For Sale, Off Market trades (Reason code Specific), Inter scheme Transfers, Primary Market Transactions, etc.
- Daily processing of High value bond deals reported on CBRICS (NSE) and E-Settle (BSE) Platform before 3.30 PM on T+0 day
- Transferring purchase obligations to Finance department in case of Buy Transactions and giving instructions to DP for debit of account in case of Sale Transactions
- Following up with counter parties in case of non-receipt of funds or bonds before deadlines to avoid cancellation of deal
- Following up with respective exchanges in case of discrepancy in funds/bonds updation on portal
Investment Advisor
Aditya Birla Financial Services Group
02.2016 - 12.2016
- Worked with Aditya Birla Money as an Investment Advisor, where we have to call existing clients associated with the company website 'MyUniverse' which is an online platform for investing in mutual funds and also managing personal expenses of clients.
- Assisted the customer needs, prospecting and advising them on Mutual Fund Schemes according to their requirements.
- Managed the client's portfolio and suggested them about entering new schemes and exiting from current schemes according to the market scenarios.
- Maintained strong relationship with existing customers for further business opportunities
Senior Relationship Manager
ICICI Securities LTD.
06.2014 - 08.2015
- Worked with ICICI SECURITIES LTD as a Senior Relationship Manager, wherein interaction with customers, providing proper services, cross-selling other financial products and managing their portfolios were my main responsibilities.
- Proposed appropriate investment solutions to the clients as per their requirements.
- Maintained relationships with customers and convinced more clients to trade-in by converting non-traders into traders.
Education
M.M.S. - Marketing
Dr. V N Bedekar Institute of Management Studies
Thane04-2014
Bachelor of Science - Information Technology
Dr. B. N. Bandodkar College of Science
Thane01.2011
H.S.C -
JVM School And Jr. College, Kalwa
Thane01.2007
S.S.C -
New English School, Kalwa
Thane01.2005
Skills
- Trade settlements
- Cash forecasting
- Team leadership
- Effective communication skills
- Team-oriented professional
- Analytical skills
- Risk management
- Regulatory compliance
- Coaching and mentoring
- Operations management
Personal Information
Date of birth : 12th May 1989
Languages
- English
- German (A1)
- Marathi
- Hindi
- Gujarati
Accomplishments
- CEO Award at Morgan Stanley for partnering in the successful transition from T+2 to T+1 settlement
- Promoted to Manager from Associate in January 2025
- MS Spotlight Awards for exceptional performances in daily BAU for handling high volumes
Certification
- NISM-Series-VII: Securities Operations and Risk Management Certification
- NISM-Series-VI: Depository Operations Certification
- Completed 1st Level of German Language from Max Mueller Bhavan
References
Available on Request
Timeline
Manager - Settlements Operations (Cash Equity)
Morgan Stanley India Company Pvt. Ltd.
12.2020 - Current
Institutional Operations - Executive (Back Office)
Stock Holding Corporation of India Ltd
02.2017 - 12.2020
Investment Advisor
Aditya Birla Financial Services Group
02.2016 - 12.2016
Senior Relationship Manager
ICICI Securities LTD.
06.2014 - 08.2015
M.M.S. - Marketing
Dr. V N Bedekar Institute of Management Studies
Bachelor of Science - Information Technology
Dr. B. N. Bandodkar College of Science
H.S.C -
JVM School And Jr. College, Kalwa
S.S.C -
New English School, Kalwa
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