SHARATH GOPINATH

• Leading multiple clusters - OTC Settlements, Cash Reconciliations and Broadly Syndicate Loan. Responsible for business migrations, transition management and single point of contact for overall team and business management
• Cash Reconciliation responsibilities include – investigation of the actual cause of trade breaks between AB and Custody. The main goal is to identify and clear high dollar value aged breaks with thorough investigation using various applications (CTC, Calypso, Portfolio Management System (PMS), FCM statements and Custody Websites.
• Provide support in reviewing Trade Settlements above USD 1 Million and conduct quality check with regards to directions (AB Pay/Receive), product, SSIs, trade matching approval and other QC areas in order to instruct cash flows before the market cut off time
• Broadly Syndicated loans responsibilities include – investigating bank loans breaks between AllianceBernstein and Custody. We extensively use WSO data Vs USB data to research on the breaks and liaise accordingly with the respective parties to clear the breaks
• Liaise with Technology teams, Middle office, Delta1 and other internal teams for investigating discrepancies and communicate accordingly with Custody. The goal is to also bring in technological efficiencies within teams
• Weekly and monthly connects with the senior management team to provide updates or metrics, project enhancements, risk areas and to report overall team governance
• Overall oversight and Governance for Derivative Operations comprising of 30 team members

Client/Partner: AllianceBernstein - Derivatives Ops, FinOps

• Leading and managing multiple teams comprising of 21 team members that support various Derivative middle office functions. Handling reconciliation and enquires from brokers/stakeholders.
• Monitor key SLA metrics for all activities and identify scope for driving efficiency
• Streamline critical SLAs/KPI metrics and parameters for various teams by regular
• Strengthen team resilience, work from home governance and knowledge management
• Identify problem areas and implement automation controls to prevent errors/misses that improves our quality of service
• Provide Management reporting on monthly team performance. Highlight Partner feedback and metrics achieved by the team
• ISO, BCP and ISMS (Information Security Management System) co-ordinator for the team

Team : DRReaAM (Data Research, Analytics and Management Services)

Clients: AXA Investment Managers (Collateralized Debt Obligations – Structured Loans) and AXA Equitable (Asset and Wealth management)

• Manage and lead multiple teams within AXA Investment Management
• Responsible for post investment tracking of Collateralized Debt Obligations (CDO) deals Monitor coupon, amortization and cash flows for different CDOs/CLOs
• Liaise with trustees for obtaining financial detail for deals, those are in the liquidation stage, track for residual and tranche payments
• Monitor coupon, amortization and cash flows for different CDOs/CLOs
• Monitor the entire health of CDO Life Cycle for AXA Portfolio on a quarterly cycle
• Reporting rollovers, paydown (principal / interest), and waterfall for each tranche by analyzing trustee reports
• Conduct overall governance of data quality for the team

Team : Northern Trust Asset Management (NTAM)

• Conduct buy side credit research for various Municipal Bond issuers in the US, covering General Obligation and revenue bonds. Important aspects considered for research, include – macro economic factors, financial trends analysis (financial statements, ratios) demographic scenario etc
• Assign an in-house credit rating for the bonds (IG – Investment Grade; few HY – High Yield), thereby recommend and assist Portfolio Managers to make effective business decisions - buy, sell or hold a particular security
• Conduct stress test for various asset classes through Portfolio Risk Tool (PRT), BlackRock Alladin
• Extensive use of Bloomberg for research and analysis of municipal bonds
• Conduct KT sessions and manage a team comprising of 6 Credit Analysts. Also involved in providing management updates

Team : Mergers & Acquisitions, Corporate Actions

• Support Reuters America and EMEA markets by capturing M&A deals
• Publish significant development coverage in the M&A space
• Extensive M&A research using Factiva, SEC, RKIM, 3000Xtra, ThomsonOneBanker, FINRA