Shaik Ismail,

Analyst/Consultant.

Applications used:

Maintain Bond

MW (Clearvision)

Trinity

GMI

MCH

Bridgenet

OWT system

Wins Ticket

GENFUT, GENOPS

Alteryx

Bloomberg

Qualifications:

• MBA (Finance)

• B.com (Computers)

Profile:

I carry 7+ years of experience in the field of finance. In these years, I have gained diversified skills in the Investment Banking domain. I’m looking forward for an environment where my potential can be channeled into productive avenues.

Consultant, JP MORGAN CHASE on payroll- June

2021- till Dec 2022.

Current roles & responsibilities :

• I’m into Futures and Options Clearing process where I work for BRAT (Break Reconciliation & Analytics Team). As part of BRAT team, we work on topday for EMEA Market on different stock exchanges.

• Working on different stock exchanges which includes- SAFEX, NASDAQ, EEX, LCHSA, MEFF, IDEM, EUREX and ICE (LLC & PLC).

• On topday we download the files from the exchanges directly.

• Analyzation and reconciliation of topday trades and fix them.

• Reconciliation of position trades/breaks between exchange files which includes, trade file, Give-out file, Give-in file, and position file with the GMI files which includes GMI trade file and GMI position file.

• Running Alteryx/Workflow and GMI queries to get the output of each exchange.

• Working on different exchange contracts for different exchanges for example- 19 BC, 19 GL, 8R OS, 52 MP, ND EPIA, DA OESB, 27 BM, 27 SF, 27 SD, 27 F7 etc.

• As per scenario we take a call and do respective action.

• Usage of Trinity to find out the allocations of trades from respective clients to respective accounts.

• Analyze and find out expiry breaks by going into PPM/Product Pricing Maintenance screen in GMI.

• Analyze and find out error trades by going into ERROR screen/Transaction Allocation screen in GMI.

• Amend both future and options trades by going into amendment screen in GMI.

• Analyzation of trades by using Clearvision application.

• Analyzation of breaks/trades by using FO-EMEA Historical mailbox.

• Booking of future trades via Genfut and Option trades via GenOps which directly fed into GMI.

• For any incorrect contract setup or no contract, we approach DCO team.

• Sending the handover of resolved breaks/trades by adding comments to EMEA handover team and Tday break resolution team.

• Processing Closeouts for Last trade date contracts, usually which expires on current day.

• Working on ICE offsets- Updating prices and booking offset trades.

• Checking for ICE commodity position level breach for different contracts.

• Updating Warrant details in LME Sword exchange.

• Authorizing warrants on LME Sword application.

• Performing safex exchange delivery activity.

• Working on LME EOD task where I update LME sword charge charges and sending CBA file to client.

• Making sure all are delivery trades on GMI by performing Deltrade activity.

• Working on LME TOM activity.

• Working on LME Client activity.

• Making sure all tasks are completed in OTM.

Associate 2- State Street Corporation on payroll- Oct 2018-Oct 2019: Client delivery management is the first point of contact to the client to raise any request for the reports, additional documents, or queries. We contact internal team and request the same as per the client and do a thorough scrutiny before sending it to them. We also provide daily, weekly and monthly reports as per the agreement between client and State Street.

• Processing Option, FX and Open trade recon and do reconciliation between IMS and My State Street and if any discrepancy is found contact the internal team and get the issue resolved.

• Finding out discrepancies in trades and getting those issues resolved.

• Processing Morning INAV Tolerance Check for particular funds and finding out discrepancies arise and making sure all funds are within tolerance.

• Processing Morning INAV Tolerance Check file and sending it to onshore team.

• Processing Short Position Check file and send to onshore team.

• Comparing the NAV file report on day-to-day basis with the benchmark given by the client and if any tolerance breach do the investigation and comment with substantial document and send it to client.

• Cancel dirty bond trades and rebook them in MCH with interest so that NAV is determined properly.

• Research through “Bloomberg”.

• Run the reports for Fund of Fund and cross checking if any CUSIP is liquidated.

• Check for the dividend distribution from the transfer agent file and inform the same to the onshore so that call back procedure can be done, and money is transferred on time.

• Posting Appreciation and Depreciation entries on the fund so that correct accruals are posted.

• Research on funds and its cusips, ISIN’S, trade I’d, trade date, maturity date, settlement date and its Net Asset Value (NAV) through search engine called “Bloomberg”.

• Raising IMT ticket for unbooked/unprocessed new trades to GTP Client service team.

• Processing “The Daily Trade File” for some specific countries.

• Follow ups with onshore team for unbooked trades.

• Once trades are booked, we need to process the new trades report as well as daily accrual report.

• Senior Process Associate

• Bank of America Continuum Solutions on payroll Oct 2013-Dec 2017

• Mutual Funds Operations Process:

• Roles &Responsibilities:

• On-boarding the mutual funds which means buying a new fund or On-boarding a fund into our client account.

• Investigation on ISIN whether it is valid in market or not. Regularly checking with our custodian on our fund eligibility for new On- boarding funds.

• Placing a trade order whether it is buy or sell into the market via our custodian application called ”Bridgenet”.

• Making sure whether the trade actually received by our custodian as we get a auto generated email stating the status of order whether it is accepted or rejected. If rejected, we investigate further based upon the rejected reason then we will rectify & again place into the market.

• On next day (settlement day) we will receive a consolidated trade summary report from our custodian. Based on this report we will post the same trades into client account.

• If net settlement amount is positive, then we will send a wire to our custodian. If net settlement amount is negative, then custodian will send a wire to us.

• We reconcile the cash flow between our custody and accounting side. Securities Settlements – EMEA EMERGING Markets.

• Roles &Responsibilities:

• Stock Borrow and Loan Settlements:(Back Office)

• Responsible for Pre-matching, matching, Narrations, and timely settlement of trades.

• Timely escalations to trading desks and management, minimizing operational risk.

• Maintaining Client broker relationship and keeping the market, credit, liquidity, and operational risk to its minimum.

• Handled Rights and Corporate event on various stock in Emerging market ensuring 100% settlement on due date.

• Prioritizing Record Date and Dividend trades to ensure smooth settlement and avoiding loss of dividends.

• Reconciling post settlement Depot breaks with internal and external counterparties.

• Research Associate

• Standard & Poor’s Capital IQ - Apr 2012-Dec 2012

• Roles &Responsibilities:

• Fetching a new document/bond/file from a queue which is our internal tool “Notification server”.

• Research on Callable Bonds (finding whether it is partially called notice or fully called notice) using an application called Maintain Bond.

• Research on Call Date, Call Price, Call Amount.

• Research on Par value or face value.

• Finding out the correct issuer.

• Research on Paying Agent, Cusip Numbers and its accuracy.

• Research on Conditional Call Notice.

• Research on duplicate documents or bonds.

• Maintaining accuracy of documents by doing quality check.

• Making sure all the data is correct and accurate.

• Interacting with team leader and manager to take wise decisions.

• Resolving issues by interacting with team members.

• Resolving issues which arise from multiple issue bond screen and single-issue bond screen.

• Making reverts to New York team on issues arise from callable bonds.

• Taking suggestions from manager and New York team on any new policies.

• Secondary research through usage of Emma website. Personal Details:

Name : Shaik Ismail

Father Name : Shaik Mahmood

DOB : 15/08/1988

Nationality : Indian

Address

: AM Residency, Flat No 204, 2nd floor,

Mehdipatnam,

Hyderabad-500028

Mobile Number: +916*********

Email ID- ad0rpt@r.postjobfree.com

DECLARATION:

I hereby declare that the information furnished above is true to the best of my knowledge. Place

Date Signature

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