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Trade support - Middle office

Bangalore, Karnataka, India
March 19, 2019

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Sanjog Karki


Career Objective

To grow into a Buy Side Multi-Asset Trader.


Generated creative solutions to problems: Instrumental in improving macros for booking trades to the internal system, and conducting Reconciliation for SPDR's. Created SOPs with a detailed process flow for Institutional Entitlement offering bookings to internal system and to manually instruct trades to custodian’s which has enabled adequate understanding of IEO activity. Instrumental in periodically updating SOP.

Risk mitigation: Ensured an accuracy of 100% economic trade details are agreed with brokers on T+0 by interacting with brokers and London trading desk.

Conducted deep dive reviews on the operations incidents: Analyzed root causes and put forward suggestions for remediation. Example: Resolved USD trades settling DVP in HK, Formalized checks for stocks that have unique settlement process due to market changes.

Work Experience.

Fixed Income Analyst - DBOI Global Services Private Limited – September 2018 to present.

Identifying discrepancies due to which trades are not matching via fix and resolving them.

Supporting the Fixed Income securities trading desk by matching trades with the deadlines by liaising with the brokers.

Working with custodian bank to ensure we have sufficient holdings in the particular location for sell trades of high nominal to ensure smooth settlements.

Worked with various internal teams to enrich trade with correct ISIN’s, SSI’s and Accrued Interest.

Worked with various internal teams to ensure correct positions are available on record keeping system on a daily basis which in turn affect the NAV and ensured the PM had perfect holdings of stock and cash for trading at the start of the day.

Associate - Trade support at State Street Global Advisors – Trade confirmations and Settlements Specialist 2017 January to 2018 September.

Booking and confirmation of Cash Equity trades for the European region.

Trades pre-matching, settlements and fails investigation for APAC, EMEA and NA Markets by liaising with Custodians and Brokers. (Equities).

Control monitoring: Pending Trades Management, Amendment and Cancellation.

Ensured swifts are out with correct details.

Sent fax to custody during necessary times for amendments and securities transfer.

Worked with internal Corporate action teams to ensure smooth settlements of trades which are affected with CA events.

Designed training plan and Conducted knowledge share sessions and training for the new joiners.

Taken responsibility for maintaining timeliness in accordance with market standards and regulatory requirements in the team and reviewed work to ensure done to standards of accuracy.

Ensuring team is accurately tracking & processing corporate action related Cash events.

Queried and worked on claims with external parties.

Answered any queries and client requests are communicated appropriately to the relevant individuals/teams and to escalate any issues which could have an impact on the team/organization.

Internship at State Street Global Advisors. July 2016 to December 2016.

Snapshots of Internship.

Trade capture - Managing and investigating exceptions, quality checks for holdings and discrepancies of assets, thereby effecting smooth and accurate data to portfolio managers.

Handled Trade Reconciliations on ETF (SPDR) to mitigate risk.

Post trade amendments on internal systems due to CA, Price, and commission amendments.

Analyzing reasons for unexecuted trades, trade amendments by consulting Traders, Portfolio Managers, and portfolio analyst.

Analyzing the future contracts that are going to expiry and provide a head's up to the trading desk.


Hands-on Bloomberg terminal, Aladdin, Bloomberg fail station and various Omgeo Products like CTM, Alert and CTM dashboard.

Operations experience and complete knowledge/understanding of a trade life cycle.

Ability to plan work ahead and to prioritize workload in an organized manner.

Skilled at gathering and analyzing quantitative data to guide decision-making.

Have a personal impact and experience to negotiate effectively with other internal groups, including Brokers/trading/Internal teams.

Ability to meet multiple deadlines in a trading environment.

Accuracy, attention to detail, good organization skills.

Strong Communication (Writing and Verbal) Skills. Effective interaction with others across departments and regions.

Ability to quickly digest new information and learn new businesses and processes.

Ability to think strategically and provide insight into how to improve existing business and technology processes.

Attention to details.

Proactive and self-motivated.

Focus on the big picture and deep understanding. (Curiosity)

Explaining and making complex concepts simple.

Extra Circular activities.

State level participant in Table tennis and Yoga Sana in the year 2014.

Basketball captain at the Institute in the year 2015 -16.

PR Member of Toast Masters Club at State Street.

Active participation at Blood Donating conducted by Red Cross at State Street.

The conductor of monthly internal meetings on what can be improved in the process and knowledge sharing.





CFA Level 1 Candidate

CFA Institute, USA

2019 June

Bachelors of Business Management

Sri Sathya Sai Institute of Higher Learning


12th - Commerce

Sri Sathya Sai Loka Seva Institutions



Sanjog Karki.

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