Swarup Ojha

• Advanced productivity KPIs to achieve key business goals and objectives.
• Reviewed operations reports to understand numbers and trends.
• Directed initiatives to improve work environment, company culture or overall business strategy.
• Established positive and effective communication among unit staff and organization leadership, reducing miscommunications and missed deadlines.

Process Supervision & Excellence

 Interacting with clients through e-mails and daily production calls to review and resolve operational

issues as well as implement new process & procedure changes.

 Continuously identifying opportunities for errors and having appropriate supervisory checks in place to

ensure team produces only defect free output.

 Identifying opportunities for improving existing processes, with the aim of increased control and value

add to the business and its client base.

Client & Quality Management

 Ensuring a high-quality customer experience, elevating customer satisfaction, while adhering to the

SLAs and Turn-around Time and accuracy.

 Discuss with manager and setting out quality standards for various operational areas and ensuring

adherence to quality standards by conducting quality audits & calibrating the scores with quality team.

 Monitoring team member’s emails & output, analysing performance and providing valuable feedback as

well as discuss and charting out plans with manager for improvement in quality and service standards.

Process:

Client Services, Fails management, Buy-ins/Sell-outs of Fixed Income & Equity trades.

I. Client Services :

✓ Successful transition and smooth implementation of Equity client service group(CSG)

Settlements process from on-shore to Jaipur.

✓ End-to-end settlement processing for Securities traded and preventing trades from failing through

rigorous follow up with internal teams to swiftly settle trades and to reduce breaks on internal

reconciliations.

✓ Provide supervisory oversight for day-to-day activities in Fails Control for the US domestic market.

✓ Direct interaction with clients and handling their queries over phone and emails.

✓ Managing the Client Service Group mailbox and providing timely response.

✓ Understanding the criticality of Client Services, ensuring smooth settlement of client’s trades and

timely and satisfactory response to their query if any.

✓ Managing fails and breaks for Platinum Client.

✓ Co-ordinating with Middle Office desks, clients, brokers and settlement team thereby ensuring

smooth functioning of the process.

II. Fails Management, Buy-Ins and Sellouts:

✓ Working on US domestic client fails( Equity and fixed income) and ensure settlement of trades on

settlement date.

✓ Ensuring borrow, depot realignment on short positions and sending Buy-In on pending receives.

✓ Sending and accepting Buy-Ins Notices through Smart/Track Application and physical as well.

✓ Escalating any unique or risk potential issue to senior management.

✓ Liaising with Onshore team continuously throughout the day and sending various benchmark reports.

Familiar Applications:

 RAD, DTC, Obligation Warehouse, Smart/Track, DTCC, Lotus Notes, Trade match.

Job Profile:

✓ Joined Infosys in Dec. 2010 as Process Executive.

✓ Promoted as Sr. Process Executive in 2012.

✓ Got three Consecutive Extra miler awards.

✓ Worked for Australian Insurance giant Suncorp Insurance for Credit Risk Operation.

✓ Managing Work flow for process.

✓ Allocating money on policies and maintaining their accounts.

✓ Follow up with customers and brokers.

Attainments:

 Yellow Belt certified for quality and cost saving project.

 Successful in developing Buy-Ins Automation Project which saved 1 FTE job.

 Successful and smooth transition of on-shore process from Jacksonville to Jaipur.

 Got certified under GTO CB&S Equities Operations Intermediate Certification Programme.

 Recognized as Expert point of contact from both off-shore and on-shore to resolve complex exceptions by providing solution and root cause.