Team Leader - Standard chartered Global business services
(2018-04)
Experienced in comprehensive investigation and audit of trade transaction documents for wealth products such as Mutual funds, Fixed income and Structures notes.
- Managed end-to-end client documentation, ensuring compliance with policies & legal validations.
- Reviewing and understanding the client request.
- Performed reconciliations, variance analysis, and quality checks across wealth products (Mutual Funds, Fixed income, Structured Notes and Banca products) to ensure reporting accuracy.
- Conducted risk rating verification and supported escalation processes.
- Drove process improvement initiatives, reducing errors and operational issues. Ensured timely completion of tasks with zero operational losses.
- Reviewed client documentation, ensuring compliance with policies, legal requirements, and regulatory filings (FATCA, CRS, W9BEN).
- Supported audit and regulatory remediation efforts, validating corrective actions and monitoring remediation plans.
- Reconcile transition breaks and resolve queries.
Operations Executive - ANZ Bank
(2017-03 - 2018-02)
- Updating Regular Pension Payment & One-Off Pension Payment as per theCustomers Request.
- Processing Prime access Cancellation of ASF.
- Updating Ongoing ASF and One-off ASF Amount to the Gatekeeper as per thecustomer's Request. Processing COA (Change of Advisor) & ROA (Removal Of Advisor).
- Processing RIP (Regular Investment Plan) and RDD (Regular Drawdown Plan). Processing ATA (Adviser Transaction Authority), TPA (Third Party Authority), BDN beneficiary of Nominee & POA (Power of Attorney).
- Draft a O/S Requirement letter to BDN, POA & New Business Request.
- Draft Confirmation Letter to advisor & customer of TPA, Annual Statement &Transaction Statement.
- Maintenance of customer account details.
Junior Officer - Atlas Documentary Facilitators Company Private Ltd. (ADFC)
(2015-07 - 2016-10)
- Back Office Processing of HDFC, Bangalore.
- KYC check for loan account opening.
- Maintain Data entry and scan documents.
- Scrutinizing disbursal documents of Auto Loan.
- MF tracker checking whether insurance applicable or not for SHG AND JLG files.
- Demography verification for Auto Loan, Savings oriented groups (SHG), Credit orientedgroups (JLG), and CV files.
- Carrying out processing and disbursal activities like PDD (Post Disbursal documents)update for all products like Two-Wheeler, Auto Loan, SHG, JLG and CV.
- Update of PDC and verification of Registration certificate, invoice, and insurance.
- Prepare and modify documents including correspondence reports, drafts, Memos and emails.
