Office Manager

AJIT GANDHI

***, ****** *****, ***. ******* Express Highway, Kopri, Thane (East) 400603

Email: ***********@*****.***

(M)+91-889**-***** / 808**-*****

Summary:

? Fourteen years of rich experience in areas of Collateral management,

Accounting, Risk management, operations in financial services industry.

? Deft at operational activities of back office and middle office

operations.

? Communication and organizational skills with proven abilities in team

management.

? Expert in trade settlement in Equities, Derivatives, Commodities and

Currency.

? Well-verse in Compliance matters & had been Audit In charge for the

branch.

? Expert in creating various reporting, MIS and excel macros.

Core competencies

. Domain Knowledge :

- Strong domain knowledge of Capital market, Derivatives and FX products.

- Well verse with various derivatives products like Futures and options,

Forwards (FX Forwards, FX Spot).

- Strong knowledge of collateral management, managing margin calls.

- Expert in trading strategies of Options, future and Cash market as

well.

. Team Management:

- Mentoring and imparting training to the employees to ensure the

performance and operational efficiency.

- Managing Performance appraisal cycle for entire team.

- Creating and sustaining a dynamic environment that fosters development

opportunities and motivates high performance amongst team members.

. Reporting, Reconciliation, Risk & Compliance:

- Expert and through knowledge of various Audit processes, audit

requirement and norms.

- Expert in creating excel macros and MIS reporting.

- Supervising & Managing portfolio reconciliation team.

Awards and Recognitions:

? Best Performer in Business Support Employee (Western Region ) for 2009-10

by HSBC

Investdirect Securities(India) Ltd.

? Best Performer in Business Support Employee (Western Region ) for 2007-08

by IL&FS

Investsmart Securities Ltd.

Educational Background

Examination School/College Board/

University Class

Diploma in Tax Mulund College of Institute of C Grade

Management Commerce Professional &

Management

Studies

B.Com N G Bedekar College Mumbai University Second

HSC Kirti College Mumbai Board Second

SSC Shardashram Vidyamandir Mumbai Board First

Work Experience

Company Fortune Capital Ltd

Duration 21st Nov., 2013 to till date

Designation Sr. Relationship Manager

Key Roles and Responsibilities:

. Managing collateral margins for F&O strategies.

. Performing portfolio reconciliation on various asset classes.

. Generating revenue by using different derivatives strategies

. Participating regularly in daily news conference call across India

branches.

. Building new customer relations as well as provide excellent customer

support to maintain existing relationship with clients.

. Identify customer needs, translate research recommendation provided

by research desk in to language understood by customer and make

appropriate recommendations to the client.

Company GLOBE Capital Market Ltd

Duration 10th Sep., 2012 to 15th Oct., 2013

Designation Manager - OPERATIONS

Role Risk management and Operations pertaining to Normal & Margin Trade

Funding (MTF) clients. (MTF Book size of Rs 100 Crores),

Maintaining & updating Portfolios of MTF & HNI clients,

Equity Back office Operations related to trades and

settlements in Equity and Derivative Market Segments,

Accounting of receipt and payments pertaining to various

trades and Margin Trading, Monitoring Pay in / Pay out of

securities and funds, Allocating various jobs and supervising

activities carried out by Junior staff for data entry.

Following are the responsibilities related to back- office

activities

. Managing and resolving NBFC queries.

. Managing pay-in and pay-out.

. Provided daily exposure reports to dealers which would result

in proactive exposure setting and less customer grievance.

. Coordinating between Regional ORGM and clients to ensure no

shortfall in pay in and pay out of funds and securities.

. Supported acquisition initiative by working with corporate

retail clients to increase their level of engagement.

. Maintaining daily MIS on all business parameters.

Company HSBC INVESTDIRECT SECURITIES INDIA LTD.

Duration 27th Oct., 2003 to 7th Sep. 2012

Designation Assistant Manager- OPERATIONS

Role Risk management and Operations pertaining to Normal & Margin

Trade Funding (MTF) clients. (MTF Book size of Rs 100

Crores), Maintaining & updating Portfolios of MTF & HNI

clients (appx value Rs. 250 Crores), Equity Back office

Operations related to trades and settlements in Equity and

Derivative Market Segments, Accounting of receipt and

payments pertaining to various trades and Margin Trading,

Monitoring Pay in / Pay out of securities and funds,

Allocating various jobs and supervising activities carried

out by Junior staff for data entry. Following are the

responsibilities related to back- office activities:-

Documentation and ensuring smooth operations. (Total Team

size - 15 Junior officers), Ensuring Branch level compliance

as per Exchanges, SEBI, NSDL & Company policies.

Preparing periodic MIS of turnover-brokerage, number of

account opened, Fixed Income (Mutual Fund) etc

Preparing Compliance Reports for main Fort Branch, Mini

Branches, DP, Handing Internal audit and Compliance issued

of Branch

Handling retail & HNI IPO Financing documentations,

confirming the pay in and Pay out status, Single point of

contact with large number of Branch Sub-brokers.

Coordinating with Head Office for various matters including

processing of sub-broker application till Brokerage payouts

to Sub-brokers and incentives to High Net worth Investors

Role Change Shifted in Risk team from 5th Dec 2010

Analyzing & Managing Credit Risk and Market risk,

Cultivating and monitoring defaulters report.

Limit setting of Clients and Franchisees as per their credit

quality with cross verification online Risk.

Liaison with Exchanges for various issues like increase in

Exposure, deletion and addition of collateral.

Real time monitoring of Future & Options positions to the

extent of available margin of the client.

Analysis of debit balances and proactively identifying areas

of improvement and raising the same with concerned

department for mitigations

Ensuring all activities are completed and checks and

controls are performed

Resolving queries of limit computation from

branches/customer care and franchisee coordinators

Preparation of Provision for doubtful debtors on monthly

basis.

Preparation of various informative and analytical MIS on a

weekly and monthly and ensure adequate actions are taken on

the same

Reviewing present MIS and processes to bring synergies

between them to reduce the TAT

Cultivating MIS report like Ratting of Clients& Franchisees

as well as their RM, Defaulters list, Franchisees Risk

against their Deposit, Deposits in Exchanges etc.

Reviewing the risk policies and to design new policies and

procedures to mitigate risk.

Liaise with Business, IT and product for implementation or

testing of new products / processes.

Company KOTAK SECURITIES .

Duration NOV-1998-OCT 2003

Designation SENIOR OFFICER- PRIMARY MARKET

Role The current engagement beginning Nov'98 essentially involves

co-ordination in the day-to-day operations of branches and

retail clients for our secondary market desk . Initially

joined as a trainee and was absorbed in Apr'00 as a Junior

Officer. The area of responsibilities were: Ensuring smooth

pay-in and pay-out of settlements in the physical and de-mat

section, Handling the DP 'pool' account, Client servicing

and client queries, Reconciliation of branch accounts,

Recoveries.

Primary Market Operations, which includes payout processing

for Mutual Funds, Fixed Deposits and Public Issues. Summary

of the main responsibilities are:-

Processing of Brokerage payouts to Sub-brokers and

incentives to High Net worth Investors.

Involved in the designing, development and implementation of

Mutual Funds, Fixed Deposits and IPO, Involved in the

designing of Mutual funds brokerage forecasting module and

enabling net access to sub-broker//HNI.

Handling Fixed Deposits of various Co's both front office &

back office. Front office includes liaisons with

Sub-brokers, Bankers & attending to grievances of investors.

Back office activities include processing of brokerages and

archiving of the same, Assisting accounts department during

the finalization of accounts with respect to primary market

activities.

Contact this candidate