Volunteering
Shivank Gupta
Senior Associate
Gurgaon
Summary
Results-driven Senior Associate with 4+ years of expertise in trade reconciliation, settlements operations, and client transfer processing. Proven ability to manage CHESS messaging, off-market and Broker-to-Broker transfers, and margin lending transactions. Recognized for high accuracy, compliance focus, and timely execution of settlements. Seeking to leverage operational strengths in a Senior Associate – Trade Settlements role to support post-trade processing excellence.
Overview
5
5
years of professional experience
2
2
Certifications
3
3
Languages
Work History
Senior Associate
National Australian Bank
05.2024 - Current
- Conduct daily trade reconciliation across client entitlements and holdings.
- Process internal transfers to/from Margin Lending accounts and manage collateral actions.
- Execute Off-Market Transfers, Broker-to-Broker and Deceased Estate Transfers.
- Monitor and action CHESS messaging, ensuring rejections are resolved promptly.
- Ensure control checks are in place for accurate and timely settlement tasks.
- Manage and complete all Fund Reconciliations within required SLAs.
- Participate in training and project-based operations initiatives for continual process improvement.
Senior Team Member
Bank of America
12.2021 - 05.2024
- Monitored and ensured compliance with KYC regulations and account documentation standards.
- Conducted detailed file status tracking to ensure timely onboarding and updates.
- Reviewed legal documents for account closures and ensured due diligence compliance.
- Maintained high accuracy in client data across platforms.
- Supported cross-functional teams in regulatory and operations reviews.
Team Member
Bank of America
08.2020 - 12.2021
- Handled reviews and approvals of loan forgiveness applications under CARES Act.
- Reviewed and validated loan documentation for compliance and accuracy.
- Delivered operational reports and quality improvements aligned with business goals.
Education
Bachelor of Computer Applications - Computer And Information Systems
Amity University
Noida 04.2001 -
High School Diploma -
Khaitan Public School
Ghaziabad, India 04.2001 -
Skills
Trade & Fund Reconciliation
CHESS Transfers & Messaging (HIN, 245, 005)
Margin Lending & Collateral Management
Deceased Estate Processing
Internal Transfers (Issuer, CHESS, Broker)
Process Validation & Exception Handling
Managed Fund Operations (Applications, Redemptions, Transfers)
Operations Risk & Control
Strong Analytical & Time Management Skills
Stakeholder Communication
Accomplishments
- Awarded Silver and Bronze accolades for delivering 100% accuracy in operational outputs.
- Recognized for sustained excellence in compliance adherence and risk control performance.
- Recognized with a certificate for achieving 102% productivity in Q2, demonstrating a strong sense of ownership and accountability aligned with the company’s core value, “We Own It.”
Certification
Banking and Financial Markets: A Risk Management Perspective – IIM Bangalore (Swayam)
Interests
Cinematography
Timeline
Senior Associate
National Australian Bank
05.2024 - Current
Senior Team Member
Bank of America
12.2021 - 05.2024
Team Member
Bank of America
08.2020 - 12.2021
Bachelor of Computer Applications - Computer And Information Systems
Amity University
04.2001 -
High School Diploma -
Khaitan Public School
04.2001 -