Vishal Sharma

Mob: +1-437-***-****, Email: ac9uji@r.postjobfree.com

Address: PH51, 313 Richmond Street East, Toronto, Ontario M5A 4S7

Work Authorization: Legally eligible to work in Canada.

Objective: To constantly enhance my knowledge through continuous learning and hard work, utilize my potential to the highest benefit and obtain a position where I can enhance leadership skills and use my work experience in facilitating substantial value additions to the organization and personal streams.

Forte: Expertise but not confined to Operations Management, Project Management, Transitions, Business Analyst Role, and Risk & Control.

Domain knowledge: End to end trade life cycle of Capital Markets, Interest Claims, Stock borrow Lending, payments Processing, Stock Conversion, Prime Brokerage, which includes Confirmation, Trade settlements, funding (global payment processing) . Also, Job responsibility includes being a Project Manager for all projects pertaining to operations. Certified Green belt in six sigma. Performance Reporting, US Taxation & Advisor network Middle Office QC of various Asset and Wealth Management Organizations across the Globe and in US domestic Market.

CAREER SUMMARY: OVER 14 YEARS OF EXPERIENCE

1. Wipro Ltd: Client UBS: Worked as a Manager since Feb 2017 till Oct 2018. Job Pertained to Projects Management. Settlement of Cash Equities and Prime Brokerage Settlements, Stock Borrow Lending (SBL), Positions Management Group, Interest Claims, Conversions, Payments Team, Managing trade settlements of Top Tier (CASS) clients.

2. Royal Bank Of Scotland: Worked as a Manager since Nov 2014 till Jan 2017. Job pertained to Derivatives & FXMM - Pre Settlements, Post Settlements, Internal Settlements & APAC settlements, Trade Confirmations. Risk & Control. Product relates to Credit derivatives, Rates derivatives, FXMM i.e. Foreign exchange money markets.

3. NIIT TECHNOLOGIES LTD: Worked as an Assistant Manager from April 2011 till Nov 2014. Profile related to DTC Settlements, Global Performance Reporting, Reconciliation of the returns, US Taxation & Advisor network Middle Office QC for all the portfolios was onshore in SEI Philadelphia for 3 months to migrate the process.

4. Bank of America Continuum India Pvt. Ltd.: Worked as a Team Leader for Global Market Operations and Middle Office from July 7th 2010 till April 2011. Profile related to settlement of US Domestic trades and Reconciliation of various Broker/Dealer, Latin America & Canada accounts. Was onshore in Bank of America Merrill Lynch New Jersey & Jacksonville for couple of months to migrate the process.

5. Franklin Templeton: Worked as a Senior Analyst from June 2009 till June 2010. Profile related to Handling Equity, Fixed Income, FX & Treasury trades, in all the markets right from trade execution/Trade Monitoring/Trade Completion/Pre-matching & Fails to Trade settlement & auditing trades of high risk.

6. Wipro BPO: Worked as an Analyst from Feb 2005 till June 2009. Profile related to settlement of APAC and Scandinavian trades. Was onshore in UBS London for 9 months to migrate the APAC settlements process.

7. VCUSTOMER: Worked from July 2004 till Feb 2005. Worked for the process of Alaska Airlines and Target stores where in I was responsible for customer service like Billing, Returning the Merchandise, Booking orders, etc...

CAREER HISTORY:

Company Wipro Ltd (UBS Account)

Position Manager

Duration Feb 2017 till Oct 2018

Managed the Pre Settlement and Post Settlement activities of Cash Equities and Prime Brokerage Settlement.

Teams Managed are Prime Brokerage Equities and Cash Equities, Interest Claims, Stock brokerage Lending, Positions Management Group, Depot and Nostro Reconciliations & Top Tier Clients.

Manage Escalations and Ensure the smooth functioning of the processes

Manage KPIs (key Process Indicators), KRIs (Key Risk Indicators) and SLA (Service Level Agreement) of the teams.

Ensure Settlement in Emerging, ESES, European, Scandinavian markets.

Responsible for Annual Appraisals of the team.

Managed the Top Tier Clients of UBS

Business Analyst for the process improvements which required gathering data and identifying the area of improvements. Delivered on numerous projects which helped in meeting the contractual obligation of 10% process efficiency every year.

Company Royal Bank of Scotland

Position Manager

Duration Nov 2014 to Jan 2017

Pre Settlements & Post settlements of Derivatives and FXMM trades across the globe

Internal Settlements of trade within RBS entities

Risk & Control of all the trades by sample monitoring and 4 eye check of payments over USD 20 Million.

Manage Control Calls with Onshore Counterparts and mitigate the risk.

Manage Global Escalation Calls and do the RCA of incidents.

Manage Annual appraisals of team members.

Project Manager to do process improvements and link the Middle office and Back office applications to avoid the timing issue pertaining to flow of trades.

Company NIIT Technologies Limited (SEI Asset and Wealth Management)

Position Assistant Manager

Duration April 2011 till Nov 2014

Migrated the DTC Settlements, Global Client Reporting from Oaks, Philadelphia, US. Leading the International & Domestic Performance Reporting and Taxation team. Prepared the Process maps and SOPS in onshore and got them vetted from onshore counterparts within 3 months of onshore migration.

Managed a team of DTC Settlements, Performance Reporting, US Taxation, Investment Management Unit, Advisor Network Middle Office QC for United States and Global Markets.

Handled overall functioning of processes.E2E Responsibility of Management/Governance of Transition

Ensured systematic approach to plan, design, implement and control various activities of all the phases of a project to achieve the Organization goal

Handle the Daily, Weekly and Monthly calls which involves providing updates on the performance of the team.

Project Manager: Automated sub parts of the process which saved near about 1500 hours. Got the best team award for giving maximum number of process improvement ideas through All Ideas Matter Competition. Maintaining the quality of Performance Reporting teams & IMU at 6 sigma since July 2011 and 5 sigma for Taxation & MO QC since July 2011

Company Bank of America Continuum India Pvt. Ltd.

Position Team Leader

Duration July 7th 2010 April 2011

Migrated the MLPFS US Settlements from New Jersey & Jacksonville (Florida). Leading International & Domestic settlements team.

Monitoring the overall functioning of processes.E2E Responsibility of Management/Governance of Transition

Prepared Project Plan along with Creating & implementing workflows to facilitate structured support in all areas and issues.

maintaining coordination with Infrastructure & IT Dept to ensure smooth migration, for the floor issues, monitoring Operations Monitor System and analysing various reports viz. process dashboards reports.

Responsible for team performance plans, attrition and appraisals of the associates.

Handle escalations for the team and ensure proper updates are provided to the LOB and management.

Hold regular calls with the LOB ensuring smooth running of the process and maintaining good relationship.

International Settlements: Responsible for Reconciling Broker/Dealer, Latin America and Canada accounts. Look into the breaks and resolve the same.

Automated the data collection report for over 700 accounts and was awarded for the same in the Quarter three Rewards and Recognition ceremony.

Domestic Settlements: Taking care of DTC Exception trades and Buy In notifications. Ensure that the trades are matched within the cut off timings for DTC Exceptions. Send out going Buy-In notices and action on the incoming Buy-Ins within the cut off timings.

Company Franklin Templeton (Hyderabad)

Position Senior Analyst

Duration June 29th 2009 till June 25th 2010

Handling Equity, Fixed Income, FX & Treasury trades, in all the markets right from trade execution/Trade Monitoring/Trade Completion/Pre-matching & Fails to Trade settlement & auditing trades of high risk.

Also responsible for NDF trades (Non Deliverable Forwards) i.e. part of Forex trades. It deals with buying and selling of currencies across global markets. Responsible for team performance & leading the team.

Responsible for the entire buy in markets and high risk trades.

Responsible for the End of the day calls and bi weekly calls with other counterparts.

My Job also requires supervising the team and leading the team members towards the objectives to be accomplished on day to day, weekly, monthly & quarterly basis.

Company: Wipro (UBS Investment Bank)

Position: Analyst

Duration: February 2005 till 26th June 2009.

Worked in UBS London from June 2007 till March 2008.

Onsite experience of 9 months in London.

Job profile:

Equity trade settlements (APAC and European Markets) Job requires identifying root cause of failing trades and ensuring its settlement and managing the risk effectively.

Given additional responsibility to handle the top tier clients in APAC markets Managing exchange shorts Preparation of work flows and Standard operating procedure (SOP’s) Adherence to the SLA’s, productivity & turn-around-time.

Provide subject matter expertise on process & cross train Team Members and new joiners.

First point of contact for all client escalations.

EDUCATION:

2005 to 2007 Symbiosis India

PGDBA Finance (Distance Learning), cleared in A category

2001 to 2004 Delhi University, India

Bachelor of Commerce

Hold US Business Visa

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