Summary
Overview
Work History
Education
Skills
Languages
Personal Information
Timeline
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Swapnil Bansode

Swapnil Bansode

Pune

Summary

Dynamic Authorized Officer at UBS Business Solutions India, skilled in compliance and operational excellence. Proven track record in process improvements and cross-functional collaboration. Adept at leveraging Microsoft Excel for trend analysis while fostering team development and enhancing service delivery. Committed to driving efficiency and ensuring regulatory adherence in fast-paced environments.

Overview

15
15
years of professional experience

Work History

Authorized Officer

UBS Business Solutions India Private Limited
Pune
05.2023 - Current
  • Currently working as an Authorized Officer at UBS Business Solutions India Private Limited, I oversee and manage key operational functions to ensure seamless and efficient service delivery
  • I am responsible for ensuring compliance with regulatory requirements and internal policies, as well as implementing process improvements to enhance operational effectiveness
  • Overseeing and managing key operational functions to ensure seamless and efficient service delivery
  • Ensuring compliance with regulatory requirements and internal policies
  • Implementing process improvements to enhance operational effectiveness
  • Collaborating with cross-functional teams to drive operational excellence and continuous improvement

Credit Suisse India Pvt Ltd
Pune
03.2020 - 05.2023
  • Effectively manage a team size of 6-8 individuals
  • Staff development through strong engagement and Training Need Analysis
  • Staff performance appraisals on regular basis
  • Engage staff in Asset Services Initiatives
  • Facilitate change initiatives within the team
  • Ensure planned mobility is provided to staff
  • Manage attrition as per Company standards
  • Responsible for conducting weekly staff meetings and monthly one on one session with the team
  • Building a mechanism to take care of volume peaks during peak Corporate Action season
  • Identifying operational risks proactively and mitigating appropriately
  • Serve as Internal/external escalation point
  • Core Dividends: Investigate and correct discrepancies related to accrual processing, record date balancing, and payment processing to allow straight through processing of dividends
  • Exceptions Resolution: Involves handling counter party claims that could not be reconciled with our system generated positions - requires research and resolution - to enable the payment to counter parties, or to refer the irreconcilable

Senior Process Lead (Global Corporate Actions)

BNY Mellon (India) Pvt. Ltd.
Pune
01.2013 - 03.2020
  • Coordinated with Investment Team to obtain desired investment decisions and distribute elections to custodians
  • Facilitated timely resolution of all Pricing/Trading/Accounting issues related to daily corporate actions processing
  • Ensured all income, positions and trade records were consistent with custodian bank records
  • Ensures Financial Advisors (FAs) are notified about corporate actions affecting their clients
  • Resolution of any processing issues and liaison with other areas (Settlements, Trading Desk support)
  • Identifying ineffective areas within own process and initiating changes for them - proposing improvement solutions
  • Leads the work of others and provides cross training, mentoring, and coaching
  • Ensure that any risk is identified, actioned in a timely manner, and escalated to the Directors and further as per escalation Matrix
  • Participate in preparations for internal and external audits
  • Trend Analysis & Preparation and reporting daily, Weekly dashboard to management
  • Reconcile the client's holdings as reflected in our books and records with those of the sub- or third-party custodian or lending broker as applicable
  • Interact with customers and varied departments on all routine matters as well as inquiries
  • Reflect the corporate event in the portfolio of the client through the posting of cash and/or security transactions
  • Support with varied related duties as needed for ad hoc reports or projects

Senior Transaction Executive-Complex in Investment

Mphasis Pvt Ltd
Pune
06.2010 - 01.2013
  • Worked for client Charles Schwab where we used to handle client accounts with services like notification about their balance report, reconciliation, any inquiries related to accounts etc

Education

Executive MBA - Financial Risk management and Portfolio Management

NIBM
01.2019

Batchelor of Arts - Economics Honors

University Of Pune
04.2009

Skills

  • Fast Learner
  • Communication Skills
  • Microsoft Excel
  • Microsoft Office Word
  • Microsoft PowerPoint
  • Reconciliation
  • Vendor Management
  • Investment Banking
  • Product management
  • Service delivery
  • Team management
  • Staff training

Languages

  • English
  • Marathi
  • Hindi

Personal Information

  • Date of Birth: 05/13/86
  • Nationality: Indian
  • · Passport: U5029587
  • Driving License: MH12200600059209
  • Address: Atharva purva Building No A3, Flat no 06, Near ECP Vastu society, Handewadi Road, Hadapsar, Pune Pune, 411028 India

Timeline

Authorized Officer

UBS Business Solutions India Private Limited
05.2023 - Current

Credit Suisse India Pvt Ltd
03.2020 - 05.2023

Senior Process Lead (Global Corporate Actions)

BNY Mellon (India) Pvt. Ltd.
01.2013 - 03.2020

Senior Transaction Executive-Complex in Investment

Mphasis Pvt Ltd
06.2010 - 01.2013

Executive MBA - Financial Risk management and Portfolio Management

NIBM

Batchelor of Arts - Economics Honors

University Of Pune

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Swapnil Bansode