SHANTAM YADAV

Job Title: Senior Associate - Collateral Management and Security Lending Management

Job Summary:
As a Senior Associate in Collateral Management and Security Lending Management, I am responsible for the daily management and oversight of collateral positions in the securities lending and borrowing process. My role involves ensuring that collateral remains within the required thresholds, managing maturities, and handling operational aspects using a variety of tools, including Microsoft Excel, Microsoft Access, and the MCH tool.

Key Responsibilities:

• Collateral Management: Monitor and manage collateral percentages daily, ensuring compliance with the 102% collateral requirement in securities lending transactions.
  Actively track market price fluctuations and rate changes, adjusting collateral requirements accordingly.
  Engage with brokers when collateral percentages fall below 102%, requesting additional collateral or cash to ensure compliance with margin requirements.
  Liaise with brokers when collateral exceeds the 102% threshold, responding to inquiries and managing the return of excess collateral.
  
• Maturity Management:Oversee and manage loan maturities, ensuring that loans are closed and settled within the agreed timeframes.
  Perform necessary actions for loan openings, amendments, and closings using internal tools like MCH, ensuring accurate processing of each transaction.
  
• Reconciliation and Reporting:Perform daily reconciliations to identify and resolve breaks, ensuring that discrepancies are promptly addressed and corrected.
  Conduct regular checks to confirm that all transactions are accurately recorded and reconciled.
  Generate daily reports and updates for internal stakeholders, providing insights into collateral positions, loan maturities, and reconciliation status.
  
• Tool Utilization:Utilize Microsoft Excel and Microsoft Access for data analysis, reporting, and tracking collateral and loan activities.
  Leverage the MCH tool for price amendments, rate updates, and processing loan-related transactions (openings, closings, and amendments).
  
• Stakeholder Communication:Maintain effective communication with brokers, internal teams, and other stakeholders to ensure the smooth execution of collateral management and securities lending operations.
  Provide support and clarification to brokers regarding margin calls, collateral requirements, and loan maturities.
  
• Compliance and Risk Management:Ensure adherence to internal risk management policies and industry regulations regarding collateral management and securities lending.
  Identify potential risks related to collateral shortfalls or excessive collateral and take necessary actions to mitigate them.
  

Job Title: Senior Process Executive Trade Processing And Settlement

Job Summary:

Worked as Sr Process Executive on Equities & Fixed Income Confirmations & Settlement Process. Reviewed counterparty service requests and provided solutions within specified timelines. Resolved issues arising from process changes in a timely manner. Acted as a liaison between Custody, PM, and counterparties to ensure seamless execution of integrated processes. Excelled in overseeing trade pre-settlement and post-settlement processes while maintaining a strong understanding of reconciliation practices. Proficient in capital market and money market operations. Proficiently utilized key financial platforms such as Blackrock Aladdin, Bloomberg, Omgeo CTM, Alert, Configuration Master, and streamlined SSI setups, SWIFTs, and custodian portals with institutions such as BBH, BNYM, and OLIS. Provided leadership, insight, and mentoring to newly hired employees, trained them, and provided knowledge of the process.

Key Responsibilities :

• Process trades of Equity & Fixed Income Securities that include Confirming, Chasing, Reconciliation, and Matching them Timely.
• Performing daily processes, checks, and validating the same with systematic quality checks.
• Monitoring & updating correct SSI & Getting Static Data Updated for New Counterparties.
• Addressing trade discrepancies & resolve them with the help of Middle Office/ Front Office & Portfolio Managers
• Handling queries of various stakeholders like Clients, Custodians, Traders, CP & PM.
• Set up & Updating Standard Settlement Instructions (SSI's) of CP for security movement.
• Training & mentoring of new recruits & preparing learning plans for them
• Upload external trades BLT in the system.
• Preparing daily reports & escalating critical and high-priority issues to management.
• Achieved highest client and agent satisfaction ratings.
• Monitoring & updating correct SSI
• Getting Static Data Updated for New Counterparties