Umesh Sangol

Ø Retail Debt Segment (RDM): Complete Process flow of RDM Back Office Ops such as:

Preparation of Deal Tickets, Deal Confirmation SGL Instructions

Statement of In-flow & out flow of Funds & Securities

Reporting & Settling Transaction on clearing mechanism (NSCCL & ICCL)

Reporting Deals on OM NDS Screen, Punching Bids and Offers on NDS Screen

Handling RFQ on NSE Clearing & RFQ on OM NDS

Participating in Gsec / SDL auctions

Bidding in Primary Market for Corporate Bonds

Acting as Mid Office by confirming deals with Counterparties

Maintaining the Stock Portfolio

Preparing MIS, daily, monthly and occasional reports (for Management)

Converting Securities from SGL to Demat & vise-a-versa

Having Good Repo with Federal Bank for CSGL account and Credit Limit

Wholesale Debt Segment(WDM): Complete Process flow of WDM Back Office such as

• Fresh Empanelments & renewal of Emplanelments
• Reporting of Deals on NSE / BSE, Generating Contract Notes, Debit Notes
• Accounting Brokerage, Follow ups,
• Co-ordination with Exchanges(s) whenever needed
• Preparing Monthly Information Statement (MIS)

Retail Debt Segment (RDM): Complete Process flow of RDM Back Office Ops such as:

• Preparation of Deal Tickets, Deal Confirmation,
• Statement of In-flow & out flow of Funds & Securities
• Instructing Bank & DP Account towards Buying & Selling transactions
• Reporting & Settling Transaction on clearing mechanism (NSCCL & ICCL)
• Maintaining the Stock Portfolio

Wholesale Debt Segment(WDM): Complete Process flow of WDM Back Office such as:

• Fresh Empanelment’s & renewal of Empanelment’s
• Reporting of Deals on NSE / BSE, Generating Contract Notes, Debit Notes
• Accounting Brokerage, Follow ups,
• Co-ordination with Exchanges(s) whenever needed
• Preparing statement on Service Tax & Stamp Duty
• Preparing Monthly Information Statement (MIS)

Retail Debt Segment (RDM): Complete Process flow of RDM Back Office Ops such as:

• Preparation of Deal Tickets, Deal Confirmation,
• Statement of In-flow & out flow of Funds & Securities
• Instructing Bank & DP Account towards Buying & Selling transactions
• Reporting & Settling Transaction on clearing mechanism (NSCCL & ICCL)
• Maintaining the Stock Portfolio

Other Important Points

• Headed Back-office Operation of WDM & Retail Debt Segment. 8 people reported me
• Acted as compliance officer for Debt Segment (NSE & BSE).
• Having good contacts with RBI, NSE & BSE.
• Advised exchange(s) on Important Changes required in existing debt system.
• Well verse with Margin Funding (Equity Segment).
• Well verse with operations of Portfolio Management Services (Equity Segment).

Wholesale Debt Segment(WDM): Complete Process flow of WDM Back Office such as:

• Fresh Empanelment’s & renewal of Empanelment’s
• Reporting of Deals on NSE / BSE, Generating Contract Notes, Debit Notes
• Accounting Brokerage, Follow ups,
• Co-ordination with Exchanges(s) whenever needed
• Preparing statement on Service Tax & Stamp Duty
• Preparing Monthly Information Statement (MIS)

Retail Debt Segment (RDM): Complete Process flow of RDM Back Office Ops such as:

• Preparation of Deal Tickets, Deal Confirmation,
• Statement of In-flow & out flow of Funds & Securities
• Instructing Bank & DP Account towards Buying & Selling transactions
• Maintaining the Stock Portfolio