Saurabh Bharadwaj

Department: Market Operations

Product delivery function which is part of Cash Equity Operations which is between Change Management, Business/Operations & Technology. Prime role is to help the scope of industry, regulatory, and client-driven change across middle office and Settlements and Asset service functions.

• Determining operational objectives by studying business functions, gathering information, evaluating output requirements, and formats.
• Construct workflow charts and diagrams; studying system capabilities; writing specifications (BRD).
• Improved systems by studying current practices; designing modifications.
• Recommend controls by identifying problems; writing improved procedures.
• Defined project requirements by identifying project milestones, phases and elements; worked with IT team to create the project plan and achieve project’s objective.
• Creating JIRA and Monitoring project progress by tracking activity; resolving problems; recommending actions.
• Contributed to team effort by accomplishing related results as needed.
• Validated resource and time requirements for the assigned project.
• Planned and coordinated development of solutions for variety of business areas like Middle office Operations, Cash Management, Settlements Operation team.
• Understanding and communicating the financial and operational impact of any changes.
• Suggested changes to senior management using analytics to support recommendations.
• Conducted insightful, ad-hoc analyses to investigate ongoing or one-time.

Department :- Cash Equity Operations

Supporting Cash Equities Asia Middle office Business which included Trade support functions and pre settlement reconciliation for the Asian Markets.

• Daily Position reconciliation for major asian markets like HK, CC, SG, Japan.

• Trade funding & Fx booking.

• Trade monitoring and booking (Trade Capture).

• Managing Settlement Date issue & Inventory management.

• Aged / Failing trades and breaks monitoring (Risk Review).

• Compliance and Regulatory related controls implementation.

• Quarterly Balancing like MSCI and FTSE.

• EOD checks before book close.

• Client service queries ( High Priority Clients).

Department: Cash Equity and Fixed Income Operations.

Leading team of 4 performing the broker checkout / Economic affirmation and pre-matching functions for Asian desk across markets.

Department: Fund Management

Led a team of 12 members with primary responsibilities for the following deliverables across three processes:

A) Private Equity Unit Trust.

B) Unlisted Unit Trust and Asset Servicing.

C) Third Party Cash Under 'Managed Funds' for Australia and New Zealand Region.

Responsibilities included:-

• Fund Accounting and Operations - Transaction Processing.
• Custody Operations, Confirmation, and Receipting of Trades.
• Breaks Reconciliation of Custody vs Accounting vs Fund Manager.

Department :- Cash Equities Operations.

Managing a team of 12 members working on End to End settlements for European and Emerging Markets Settlements and Broker Matching function for London, New York and Hong Kong. Core job of the team includes Broker Matching, Trade Management, Inventory Management, Fund Management, Buy-in, Depot Realignment trades, Nostro/Depot Reconciliation.

Additional Responsibilities:

• Was part of the work steam model within the department as part of the employee engagement program.

• Led the internal risk and control team.

Department :- Cash Equity Operations.

Managing a team of 15 members working on Russian Settlements and Emerging markets for main firm & Prime Brokerage. Core job of the team is to perform end to end settlement of Russian and Emerging market trades in London and NY market which includes Trade Management, Inventory Management, Fund management,

Buyin , Depot-Realignment Trades Booking, Payments to the Clients and Nostro/Depot Recon.

• A Key member of RES operations team, involved handling billing and technical support of Real Estate Software like Real Quest, Win2Data, Metro Scan, REAP, REALIST
• Responsible for managing five team members
• Key accountabilities include work queue management, monitor performance of the team and ensuring service delivery parameters are met on all occasions

• To provide technical Support for AOL software for AOL member service
• Department - Tech