Shruti Jaiswal

• As a Team Leader in the Prime Financial Services (PFS) Transition Management team, I act as a transition manager and am responsible for the legal and operational structuring, end-to-end coordination, and integration of all new clients onto the PFS platform.
• Oversee end-to-end financial onboarding and transition processes for new and existing clients, ensuring smooth system integration and data migration.
• Monitor and report on progress, providing timely updates to clients and senior management.
• Gather and verify client information, including KYC (Know Your Customer), ISDA (International Swaps and Derivatives Association), and CSA (Credit Support Annex) documentation.
• Collaborate with cross-functional teams, including relationship managers, legal, and compliance departments, to ensure the smooth integration of new clients into the system.
• Provide exceptional customer service by addressing client inquiries and resolving issues related to the onboarding process in a timely manner.
• Maintain detailed account information and documentation of client profiles, ensuring compliance with internal and regulatory standards.
• The aim is to deliver a seamless and timely multi-asset class onboarding for our clients, spanning multiple products, including Futures and Derivatives, FX, Equity, and Fixed Income Prime Brokerage.
• Build strong relationships with all internal partner teams, such as Sales, Credit Risk, Margin Trading, Execution, Legal, Account Management, Middle Offices to facilitate client timelines.
• Maintain open client accounts such as Cash, Swap, FX, and FIPB to ensure that client activity on an account is maintained once an account is opened.

· As a broker, monitoring those trades are pre matched in the market as DCH i.e. (Clearing house trade) & DVP (Broker settled trade) in case of failure due to various reasons.

· Monitoring and liaising with different custodians/Clearing house to settle and to mitigate the risk of failing trades. Also, monitor client’s investment related to Retail, Institutional and Non-Institutional clients as per regulations laid by SEBI.

· Collaborate with the Sales/Traders team and other teams to discuss client needs and develop customized enhancements while executing orders/trades on the exchange.

· Ensuring trade economies from upstream system are in tandem with information absorbed by downstream system i.e OTR (Order to Trade Ratio) and Thunderdome application.

· Report of the Secondary market trades on OTR on T Day with CP (Custodial Participant) code.

· Handle client requests, complaints, basic investment inquiries, mutual fund transactions, and account maintenance. Perform allocation of block and bulk trades to individual client accounts.

· Handled internal and external audit end-to-end with auditors, by providing related data, resolving queries, and effectively escalating internally and externally in respect of delinquent responses.

· Regulatory Reporting of Non-Institution clients on NSE/ BSE exchange on a daily, weekly, monthly basis such as Holding,Collateral, Cash & Cash Equivalent, Margin reporting’s.

• Trade booked in Money and Capital market in the risk management system
• Acted as primary escalation point for all Trade economics related issues and queries
• Subject matter expert on Trade related delivery requirements to meet or exceed expectations to resolve queries
• Resolved complex queries raised by the Back-office team who liaised with clients
• Provide Daily and intra - day sign off for Trades to internal departments including notification of material items to NAV Validation team in line with service delivery standards
• Monitoring of query resolution to ensure service delivery standards are met sign off of periodic reporting to clients

• Traded on international market of commodities i.e
• Gold, silver, crude oil
• Managed the portfolio of the clients and acted as client's investment manager