Suyog Nikam
Goregaon East
Summary
Highly motivated employee with a desire to take on new challenges. Strong work ethic, adaptability, and exceptional interpersonal skills. Adept at working effectively unsupervised and quickly mastering new skills.
Overview
8
8
years of professional experience
Work History
Portfolio Compliance
Oracle Financial Services Software Limited
04.2019 - Current
- Responsible for implementing controls and processes, to ensure we are portfolio compliant aligned with all applicable regulatory and portfolio issued guidelines for varied disciplines (Equity, Fixed Income, Derivatives, Alternative Investments and Mutual Funds) using the coded tags in the Aladdin system
- Majorly working on post trade compliance (overnight rule) which includes trading and investments, of Aladdin and non-Aladdin clients
- Performing compliance checks on the automated violation reports through a personalized dashboard – to address even the smallest issue, the moment it happens
- Day-over-day comparison of portfolio holdings reports containing risk and return attributes and identifying and reasoning of significant movements
- Actively seeks for rectification of coding issues, investment breaches by reporting, commenting on fresh and aging exceptions, interacting, and suggesting corrective actions with the Portfolio Managers, Investment Oversight and Legal & Compliance Advisories for both pre-trade and post-trade compliance across multiple asset classes via Aladdin dashboard
- Performing manual test checks daily on different client guidelines in a formula based excel sheets, which is complex in nature and cannot be coded into the Portfolio Compliance Monitoring System
- Providing final periodic certifications to the investors on the compliance status of their portfolios on monthly, quarterly, semi-annually, and annually basis with the analyzed and reported versions of the breaches in the system
- Timely maintenance of the procedures across all processes to ensure high-level quality control
- Participating in efficiency and improvement initiatives by providing ideas and suggestions on possible enhancements to systems or processes
- Conducts training for new hires in the team across regions
Equity Dealer
India Infoline
01.2017 - 03.2019
- Place trades on client’s behalf and generating offline brokerage
- Providing equity and F&O calls to different categorized clients such as investors, positional and intraday clients
- Inform trader clients about their debit balance, AGHV%, risk management of accounts such as position after market hours
- Resolving client’s queries related to d-mat accounts, depositories and document updating
- Advice clients to do investments in upcoming IPO’s and Mutual Fund (SIP, lumpsum)
Education
MMS -
Deccan Education Society NMITD
06.2016
Bachelors of Management Studies -
Patkar Varde College
Mumbai10.2012
HSC -
Patkar Varde College
Mumbai02.2009
SSC -
Yashodham High School
Skills
- MS OFFICE
- NISM Series VIII – Equity Derivatives Examination
Personal Information
Date of Birth: 09/05/91
Timeline
Portfolio Compliance
Oracle Financial Services Software Limited
04.2019 - Current
Equity Dealer
India Infoline
01.2017 - 03.2019
MMS -
Deccan Education Society NMITD
Bachelors of Management Studies -
Patkar Varde College
HSC -
Patkar Varde College
SSC -
Yashodham High School
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