Trading and Investment
Suresh Kumar Sah
Bangalore
Summary
To work in a professionally challenging & competitive environment and give my best to the organization for achieving its goal and objective.
Overview
13
13
years of professional experience
9
9
years of post-secondary education
1
1
Certification
1
1
Language
Work History
Process Associate
HBJ CAPITAL SERVICES PVT. LTD
Bangalore
05.2011 - 06.2013
- Advising clients with regards to their investment in Equity, Derivative, Bond, and Securities & Mutual Fund
- Focused on servicing as a Dealer in Stocks, Equity Derivatives, Currency Derivatives and Commodity Segments on stock Exchanges
- Handling Clients Call assisting them with their queries and placing orders on behalf of them
- Handling post market trade confirmations
- Sold our financial products which includes Stocks, Govt
- Bonds, Mutual funds
- Helping clients regarding their Portfolio holdings, Ledger, P&L, Tax P&L, Trade book history over Phone and Email
- Assisting clients regarding corporate action i.e., Bonus, Dividend, Merger and De-merger, Right Issue, Buyback, OFS, etc
- Via calls and emails
- Providing technical support to client with relation to Zerodha trading software and their products
- Ensure all trading transactions are legitimate and comply with government laws and policies to avoid lawsuits another penalty
- Attains through knowledge about Stock market terms and trading practices.
Analyst
TRUSTWIN CAPRESEARCH SERVICES PVT LTD
Bangalore
08.2015 - 05.2017
- Pre matching, position management, Depot transfer, Settlement of trades
- I have worked in all domestic market, Crest and Euro clear market
- Liaise with counterpart's, custodians and middle offices and Trader's regarding duplicate and unrecognized and unmatched trades
- Pre matching, Allegement and Settlement of the trade
- Producing value date Fails and value date -1 (Allegement Trades) from the system on a daily basis
- Manage Euro clear and Domestic market ensured Zero impact for business
- Raised static for all the Stock loan CPTY to settle the trade STP Post T2S
- Expert in handling Euro clear markets, Crest and Domestic Market (managed during dividend season)
- Working closely with front office to resolve economic discrepancies
- Investigate in system for Allegement trades and amend the trade as per counterparty bookings
- Managing Risk report for the team on the weekly basis for fails trades
- Producing consolidated Files and reporting to the Major clients daily
- Producing End of day fails report and reporting to respective middle offices and senior management on daily basis
- Sending Fails report to major clients on daily basis
- Work on Fails Report and reaching out to the client in order to resolve unmatched and fails trades
- Done many processes improvement project on fixing the static for exchange trade by working with IT and desk (Awarded white belt) to settle STP.
Sr. Transaction Processing Officer
Mphasis Limited
Bangalore
05.2017 - 09.2018
- Transaction processing Officer for Broker Dealer support service (BDSS)
- Overseeing the commission's Support and processing for advisors
- Collecting and charging the Commission for the Trade, Settlement and other billing activates for the different Investors to the client
- Analyzing the NSCC and DTCC Files
- Investment through proper account types of advisory or brokerage
- Updating of day-to-day commissions for trade & settlements transactions on oracle and generation of reports
- Assisting or generation of reports for advisors with transactions of individual Representatives id's (REP)
- Setting up of Automatic clearing House - accounts (ACH) to advisors or REP's based on their requests
- Collecting the portfolio fee from the investors and paying the same to the advisors monthly Basis
- Attending the requests on SIEBEL and updating the status of the same
- Delivering an excellent service to clients by meeting the SLA deadlines and other agreed targets such as responding to the client & internal queries
- Raised Static for all the stock loan CPTY to settle the trade STP post T2S
- Allocating work related to cost basis and getting it done
- Core area of work includes handling the Financial Advisor's Request for Updating of Cost Basis information
- For their respective clients for IRS (Internal Revenue Service) reporting
- Handling the Cover and non- Covered Security
- Handling the Death Journal to Update Fair Market Value
- Handling the NOC (No Open Cost) which has been clients' Accounts
- Researching & finding the fair market value of the securities for the inheritance purposes
- Reconciling the breaks causing into the Accounts
- Handling the Corporate Action events which are affecting the client's accounts.
Sr. Payment Operation Analyst 3
PayPal India Pvt Ltd
Bangalore
09.2019 - 02.2023
- Managing operations of the ACH payment systems, responsible for monitoring core payment processing systems and Investigation to resolving payment issues and exceptions to provide an exceptional customer experience
- Research and resolve Federal Recurring Reclamations
- Work with Federal Agencies as required
- Working knowledge of tool called MMT that usage SAP
- Payment Investigation and Manual Payment and returning
- Providing functional knowledge of treasury processes and interacted with some of the bank
- Manually Creation Modification and Routing of SWIFT (ISO20022) , SEPA, BACS, UPI, Cross Border
- Knowledge of International & Domestic payment Initiation, Clearing, Settlement.
- Experience of SWIFT MT-103, MT-202 COV message, Routing, International Transaction and Payment
- Research and resolve ACH, Inst. Tax, exception items such as reject, returns, and reversal/deletions
- Actively ensure compliance with Union Bank's Business Standards of Conduct, Patriot Act, CIP, Anti-Money Laundering Bank Secrecy Act, Information Security & Suspicious Activity Reporting requirements, Regulation E, AML/BSA, NACHA ACH Rules, OFAC and other regulatory compliance policies and procedures
- Comprehensive understanding of SWIFT,SEPA, ACH, Faster Payment and other Bank payment schemes
- Experience in payment driven organization covering Settlement, Reconciliation, Cash Management, and Investigation
- Understand and map the needs of multiple stakeholders across the global payments division
- Demonstrated leadership in taking accountability and ability to operate with complete independence and autonomy
- Responsible in Claim Management that needs to be given to the Bank
- Providing Request of authorization information to the bank about specific transaction and need to verify
- Responsible in Domestic as well as international Trace and process as per information specify country
- Responsible for all the Unclaimed Bank Queue need to verify correct account and post
- Handling BNPP SEPA currency for the country and Bank
- Providing information and posting Payment clear for JP Morgan chase Payment
- Responsible for Wells Fargo bank claim request which is claimed by customer
- Processing as per request of UK Credit where amount returns to customer account.
- Handling daily basis UBQ and SEPA Payment.
- Working knowledge of various SWIFT messages associated to the settlement.
- In-depth understanding of Clearing, Settlement, and Corporate action processing.
Team Leader
Wells Fargo
Bangalore
03.2023 - Current
- Managing and mentoring a team of 15 specialists across our office locations
- Responsible for Client Servicing serves as the front line for Investment Support Services Supporting the Investment community.
- Responsible for major task like New Sub Account, Termination, Change Strategies, and Tax Harvest request.
- Team review the main account to determine SMA eligibility, funding accuracy & availability proper fee coding and setup.
- Responsible for manual intervention required for all cash funding request, establish advice, statement and memo tickles on the new sub account.
- Involve activities on APL activation and coordination with Money Manager for their acceptance.
- The Reconciliation Support Services is the liaison with the non perspiratory or External SMA Money Manager supporting the APL trading platform.
- Support Pre-settlement trade correction, Tax harvest settlement issue, Add/remove account from trading platform in coordination with Money Manager.
- Handling exception report, reconciliation report, showing any differences comparing SEI to APL and fix the correction.
- Knowledge of market participant like- custodian, clearinghouse, brokers, Investment Managers, exchange etc.
- Provide all the management level reporting including service quality, volume tracking, and TMs performance.
- Responsible for all the function are cross trained appropriately and all the function have backup to manage the team.
- Ability to drive change and make decisions related to end-to-end workflows and process re-engineering
- Monitoring and improving performance of the team, ensuring the delivery of established KPIs
- Understand and map the needs of multiple stakeholders across the global payments division
- Facilitate design session reviews and share business knowledge with both onshore and offshore Operational
- Training and coaching staff members on new and existing processes
- Need to Investigate daily Contribution & Withdrawal weather trade has settled on pending
- Responsible for account termination as per money manager/portfolio manager request
- Need to provide all the Tax harvesting information to Internal money manager
- Strong fundamentals in Investment Banking and Capital markets
- Experience with Domestic (EU), Cross Border, SEPA, and SWIFT
- To ensure that assigned tasks / projects are always completed on time with no delays linked to the team.
Education
MBA - Finance
City Engineering College, Bangalore
Bangalore 06.2013 - 07.2015
BBA - Finance
SRM, University Chennai
Chennai 06.2007 - 07.2011
Commerce
Janta College Bihar
Laukha, Bihar 04.2003 - 05.2005
S.S.C -
B.S.J.H.S, Bihar
Gadha 03.2001 - 04.2002
Skills
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Personal Information
- Father's Name: Mahendra Sah
- Blood Group: O +ve
- Date of Birth: 01/01/1989
- Gender: Male
- Nationality: Indian
- Marital Status: Married
- Religion: Hindu
Projects
Worked with "EQUITY RESEARCH AND MUTUAL FUND" At HBJ Capital Services Pvt. Ltd. In MBA. Final project on "NON-PERFORMING ASSET" during 3rd Year of Bachelor of Business Administration. Industrial Visit to "AAVIN MILK PALOUR" one of the leading Milk palour in Chennai during 3rd year of Bachelor of Business Administration. Industrial Visit to "ANNA ALUMINIUM CO. (P) LTD" in Kerala during 2nd year MBA.
Training
Seminar on "Talent Retention on Companies" Conducted by SRM University, Chennai Seminar on "Stress Among ITES Employees" Conducted by SRM University, Chennai
Soft Skills
Teamwork, Leadership quality, Time management.
Disclaimer
I hereby declare that all the above information provided by me is true and best of my knowledge.
Certification
Business Analytics
Interests
Reading Book and Trading and Investment
I am very much interested in capital market where i am doing trading and investment with all proper knowledge and research mostly i am working in commodities market like crude oil, gold, silver, coper.
and Equity market i do invest for long term where i can get profit like Mutual fund, ELSS MF, PPF..
while i am talking about the book so i would like to tell that whenever i will have free time then i expend my time with my family and reading book related to business.
Timeline
Team Leader
Wells Fargo
03.2023 - Current
Business Analytics
03-2023
Sr. Payment Operation Analyst 3
PayPal India Pvt Ltd
09.2019 - 02.2023
Sr. Transaction Processing Officer
Mphasis Limited
05.2017 - 09.2018
Analyst
TRUSTWIN CAPRESEARCH SERVICES PVT LTD
08.2015 - 05.2017
MBA - Finance
City Engineering College, Bangalore
06.2013 - 07.2015
Process Associate
HBJ CAPITAL SERVICES PVT. LTD
05.2011 - 06.2013
BBA - Finance
SRM, University Chennai
06.2007 - 07.2011
Commerce
Janta College Bihar
04.2003 - 05.2005
S.S.C -
B.S.J.H.S, Bihar
03.2001 - 04.2002
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