Rohit Ghadge

Experience in Trade Operations with around 9+ years of expertise in Equity, Fixed Income Securities, skilled in Trade Processing, Reconciliation, Payment Processing, Settlement for Equity, Fixed Income, Equity, Swaps, Derivatives, SWIFT processing. Proactive in liaising with clients, Front office & Middle office. Effective resolving queries, Handing Teams, reporting to Management.

Ample knowledge of Investment Banking and Wealth Management businesses, financial markets, products and trade lifecycle with a particular focus on equities and ETDs.

Team Coach - Hexaware Technologies (Working for Brown Brothers Harriman)

(2022-02)

Process: Trade Distribution (Trade Management)

• Leading a team of 10 FTE's & Responsible for Training Delivery to newcomers
• End-to-End trade Life Cycle from trade Capture to Settlement (Fixed Income, Equity, Repo, Derivatives, SWIFT related to Corporate Action Events, Buy/Sell/Depot/Free Sell/Free Buy/ FX/SPO/PPO/DWAC/Pair-Off/Collateral Instructions
• Having Expertise in Trade Processing/Trade Amendment/Partial Trade. TBA/ACH Wire Processing
• Have experience in Collateral Product Processing( Derivatives Products- Forward/Future/Option/Swap
• Assist in processing daily settlements and trade confirmations
• Maintain accurate settlement records and internal databases
• Provide administrative and reporting support to the team
• Collaborate with various departments to ensure timely and smooth trade settlement
• Resolve discrepancies in positions and support exception management
• Ensure daily controls and escalation procedures are followed
• Responding clients queries and CSG queries
• Facilitate new business onboarding with internal & external parties and ensure new ETF Monitoring flows are set up timely & accurately at NSCC/DTCC
• Driving continuous process improvements and contributing to strategic projects and automation/optimization initiatives
• Proactively arrange and participate in client calls (weekly Call/PPT presentation) and perform service quality check-in calls to clients. And send daily basis report with Clients/Stakeholders
• Coordination with Static team for updating SSI & Routing Matrix & ASL/Callback Lists & SOP
• New Account Set, Name Change, FX Currency Set up is done as per instruction received from clients
• Familiar with Affirmation/Confirmation/Reconciliation of All Derivative products/Instrument Types, Both Listed and OTC derivatives
• Familiar with Equity/Bond/Repo Settlement Process
• Demonstrate professional maturity and effective time management
• Preparing pending trades report and communicate with custodian agent to identify settlement issues over telephone or via provided systems
• Escalate all issues properly, in time, to the appropriate level, to avoid any adverse impact on the business
• EOD control reports as per procedures

Senior Analyst - eClerx Services Pvt. Ltd. (Working for Morgan Stanley)

(2020-10 - 2022-02)

Process: Payment & Suspense Utility

• Reconciliation for Suspense & Payment Utility, Account Validation and SSI Matching, Reconciliation for Suspense & Payment Utility, Account Validation and SSI Matching, SWIFT Payments
• Derivatives Products-Forward/Future/Option/Swap, Derivatives Products-Forward/Future/Option/Swap, OTC Derivatives, OTC Derivatives, Credit Default Swaps (CDS), Interest Rate Swap (IRS),Collateral Processing Products, DTC/FED/Repo, Interest
• Payment Process - Kickbacks/Recall/Manual Journal Posting/Commentary Update on Unapplied Funds
• Reconciliation • Settlements • SWIFT Payments • MT Messages • Matching Unapplied Funds/ Commenting on unmatched funds
• IntelliMatch • SAFE Application • Qwest Application • Agent Bank • Matching/Internal Transfer/Kickback/Recall/ROF
• Huddle/Handover Calls • Journal Posting • New Application Testing (UAT)
• Complete knowledge of Suspense Account /Cash Settlement/Reconciliation, working with middle office operations for value date settlements and SWIFT matching
• OTC Derivative Settlements, OTC Derivative Confirmations

Analyst - Hexaware Technologies (Working for Brown Brothers Harriman)

(2019-08 - 2020-10)

Process: Trade Distribution

• Working on various projects organization level on UAT testing for Trade Distribution Processing application enhancement, Middle office application like Lombard-BPM, Infuse, BCS Right Fax and GTPS (instructions Initiation Platform) Requirement gathering, requirement analysis, prepare test case, test executions on agile environment
• Demonstrate the ability to analyze a problem, obtain and evaluate information, and reach sound conclusions
• Support reconciliation of transactions and help resolve discrepancies, responsible to do quality check & prepare reporting based on daily volumes
• Ensure all internal/external clients' inquiries are logged and resolved in a timely and satisfactory manner
• Ensure all daily and monthly services are delivered in accordance with relevant client SLA's
• Assist with compliance reviews, controls and audits
• Have demonstrated an ability to handle numerous activities and to prioritize work effectively
• End-to-End trade Life Cycle from trade Capture to Settlement (Fixed Income, Equity, Repo, Derivatives, SWIFT related to Corporate Action Events, Buy/Sell/Depot/Free Sell/Free Buy/ FX/SPO/PPO/DWAC/Pair-Off/Collateral Instructions
• Familiar with SWIFT's like- MT540, MT541, MT542, MT543, MT103, MT592, MT599, MT200, MT202, MT210
• Placing order with downstream team in Trade Capture System on Client request (Trade Execution)
• Do research on the reason of unsettled trades, we do provide resolution for setting the trade commodities and equities
• Handling Group mailbox and Queries comes from BAU teams on daily basis on higher priority in the teams
• Being a Global Trade processing transaction team member we were service all vertical Trade (Equity – DTC, FED & International), Cash and Derivatives (Future, Forward, Options and Swaps) Trade Review/Swap Settlement/CDS/IRS etc
• Working on incoming escalations from multiple BU and IM to prioritize urgent instructions lime FED, Repo, IPO and off currency instructions

Associate - State Street Syntel Services Pvt. Ltd. (Working for State Street Bank)

(2016-12 - 2019-05)

Process: GTP- Trade Capture/Screening

• Accountable for identification, authentication and routing of all manual and Swift instructions sent by IM in Trade Capture team
• Verifying signature with ASL Database & perform FTTOP Callbacks for high risk value instructions
• Responsible for routing of all instruments like Trade, Cash and Derivatives
• Processing Trade with Instruct light, IMAGE, IMT, RIGHFAX, Cloud- Test Key authentication & MCH
• Raising queries thought Inquiry Management Tool (IMT), also escalating the same with Research & Resolution Team (RRT) Team to Fund Groups
• Answerable for processing of Manual trades like Buy, Sell, Free Buy and Free Sell
• Responsible for processing of Swift Trades like MT540, MT541, MT542 & MT543
• Responsible for processing of all Cash transactions like Cash Payment, Cash receipt, Foreign Exchange
• Answerable for performing callbacks for all high-risk transactions with clients to ensure FTTOP compliance is meet
• Responsible for processing of Swift cash instructions like MT103, MT200, MT202, MT210
• Responsible for routing of all Derivative instruments like Futures, Options, Swaps and Forward
• Responsible research on instruction and process to right destination within TAT & responsible to raise queries thought IMT log if anything missing in instruction
• Supporting client services team to resolve problem for client in terms of settlement issue
• Assist in creating proper backups through adequate cross training, within the department
• Experience in Global Transaction Services, specializing in Manual trade processing and ETD Trade processing, with expertise in trade execution, reconciliation, settlement query resolution, partial settlement, and client reporting
• Ensuring accuracy, quality and compliance in fast-paced environments with a global client and handled transactions according to their time zones

Bachelor in Commerce - English Medium (B.Com) - Commerce - Shivaji University, Kolhapur (2013-03 - 2015-04)

SSC & HSC - Kolhapur Board (2010-03 - 2012-02)