Suguna Venka

*** ******** ******, *******, ** ***60

973-***-**** ad47od@r.postjobfree.com

Summary of Qualifications:

Financial Services professional with over 18 Years of experience in accounting system management, security processing, trade settlements and 3rd party reconciliation seeking a Portfolio manager support role within a dynamic company

Skills:

Familiar with all Operation related systems- RKS, OSA, GIM2 Mainframe, MIS, APL and SQL.

Microsoft Office – Outlook, Excel - Pivot table, v – lookup and Macro, Word and Power Point

Automated work Download System, DTCC, EURO CLEAR, SWIFT, NYSE, OTC, PTC, NASDAQ, Aladdin, TLM, PLM, PAMCalypso, Euroclear, clear stream Globe Tax Services & Client for Proxy, FEDWIRE, FED SERVICES.

Shadow accounting/Reconciliation (accounting between 2 different books)

Reconciliation between TLM, PLM against internal Portfolio PAM – Equity Growth, Real Estate, Emerging Market, Emerging Debt Active International and Asset Allocation, Fund Accounting- NAV Calculations, client reporting, sub/red rereporting, update trades daily and Pricing of securities. New Securities set up using Bloomberg.

IBS/FIS, Cash Suite and Synergy

Excel (mid-level) – Pivot table, macro, V lookup - both at state street and Morgan Stanley

Awards:

IMS Commitment to Excellence Award in 2009 & 2013 at State Street

Performance rated above average @ State Street Corporation and Morgan Stanley

Education:

Globe Institute of Technology, New York, NY

Bachelor Degree in Finance-3.854 GPA

Madurai Kamaraj University, Tamil Nadu, India

Bachelor Degree in Commerce – 3.0 GPA

Professional Experience:

M&T Bank, Bridgeport, CT

Senior Analyst, AVP FX Operations March 2023- April 2024

Performed Daily Cash Flows thru Total Messaging, confirm each inflow with the daily Bank Statements, ensure validity of the funding (check accounts on TPX), update the inflow details on Excel

spread sheet- SWIFT, Checks, ACH and FEDWIRES.

Report to Front Officer to process the funding. Reconcile daily Nostro accounts against internal reports and Bank Statements. Research and escalate on the differences. Update daily rates and export to Risk Team the Excel Nostro Report. – TPX and EXCEL

Invalid funding – send it back via SWIFT in Total Messaging – Debit Authority, Unidentified Debits and credits.

Research and process BUY BACK’s and SELL BACK’s.

Monthly Fees posted to General Ledger.

Update Daily Rates and work on Investigations sent via email by Front Office or by Client or Other Banks.

East West Bank, New York, NY Dec 2020– Dec 2022

Private Equity – Portfolio Analyst

Performed Front and Middle office Operation on Private Equity Investment: Reviewed daily Advance&Paydown

request, Borrowing Base Certificate and Capital Table. Review Compliance reports, Financial Statements and LP reports and update the quarterly and yearly compliance certificates. Do End of day daily advance and Paydown

report to Senior Management. Monthly receipt of Interest, Unused Fees and other Fees, review and ensure it gets

paid on time. Monthly reporting on Balances for Clients and update Borrowing Base amounts on the IBS/FIS

system. Interest Rate disputes and Change on Prime Rate notification, breakage fee calculation on early

Paydown Reply on any inquiries sent by client and other groups within the bank. Most of the work performed

using Excel and Word.

Morgan Stanley, New York, NY Mar 2016 – Jan 2017

Investment Management Services – Senior Portfolio Associate

Managed Private Equity Growth, Emerging Market, Real Estate, Active International and Asset Allocation which hold Hedge funds (SICAV Funds) and Mutual funds along with other derivatives.

Daily trade and position review, daily Subscription and Redemption update on Cash report for Private Equity Growth, Real Estate and Emerging Markets.

Escalated high risk items immediately to Trading/Custodian and try to resolve them by End of day

Used excel in trade reporting (macros, pivot, vlookup, etc.)

Reviewed trade and cash settlement and escalate on any pending issues for Private Equity and Real Estate Strategies. System used Bloomberg to verify any corporate action and Income related compliance related issues, resolve or escalate to the area. Send out Portfolio report on the holdings for each strategy daily before the trading and after the trading and do a reconciliation against Custody end.

Allocating subscription/redemption/Income and expenses daily for the real estate strategy for Asia, USA and Europe Markets as per Clients & Investment Management decision. Once allocated send out report to the Investment team for their review.

Updated daily, SICAV Hedge funds daily subs/reds, trade posting, pricing and weekly reporting of gain and loss and reconciliation.

Ran weekly, monthly and quarterly reports to clients. New account and Market set up for each client

Reconciled daily Equity Trades, FX's and escalated on any pending settlement

Worked closely with TES, Custodians sometimes with Brokers in assisting the trade settlement. Familiar with Trade Monitoring system to review and run daily reports for each strategy and comfortable in using Custodian website to review and resolve any trade and cash related issues.

Knowledge of Investment Advisers Act of 1940, Mirror and Nostro account, SWIFT - MT 950/940, MT103, LVTS, BIC and IBAN to solve any trades pending on new accounts and acquisition.

Experience in Tri party repo and foreign exchange with commodities and bookings.

Part of Internal Audit team – providing verification of both cash and position daily transactions, Client request, Confirmation from Custody Statement and other areas with in Morgan Stanley and outside Morgan Stanley. Payment verification includes but not limited to Daily Subs/Reds, Transfer and mergers, Dividend Payment, Futures, options, swaps

and Collateral verification, fees and other expenses, Management fees and sponsor fees, compliance and corporate action, new account at firm level and Custody end set up and Currency set up both ends. I was part of the Audit group meetings from beginning to end. Working Knowledge of accounting standards US GAAP and regulatory reporting and generally applicable and accepted auditing standards and government guidelines and laws (e.g., Sarbanes-Oxley Act)

State Street Corporation, New York, NY

Nov 2009 – Mar 2016

Managed Equity Growth, Real Estate, Active International, Fixed income and Asset Allocation

Monitored daily cash and security in various client accounts for Private Equity and Real Estate Strategies.

Escalate the cash or position breaks to client, various Custodians and other internal departments and resolve them by end of day

Processed daily cash and Mutual Fund Trades in to System and report to Morgan Stanley in a timely manner to invest in Market

Researched any Mutual fund trade failures, cancel correct trades and delay at Custody settlement trades with internal systems and work with trade and Custody in getting the trade settled

Used excel in trade reporting (macros, pivot, vlookup, etc.)

Fax in Spot FX OR WIRE details for any accounts to Custodian and call and confirm the receipt and do follow up once the action is completed

End of Day – Using Micro Soft Excel Macro, run End of Day all SICAV cash and foreign transactions and see if all got posted correctly with no issues

Reconciled daily Equity Trades, FX's and escalated on any pending settlement

Ran and reviewed daily Cash projections and escalate to Morgan Stanley (client ) on any projected overdraft on any Currency or missing buy/sell trades or Subscription /Redemption Cash postings

Client reporting – Income and Earnings report, MVDD Calculations, Valuation report, Top ten Holdings Percentile of each sector holdings using Pie Chart and Bar histogram. PAM, Bloomberg and FactSet

Portfolio Accounting – Experience – Equity Growth, Real Estate, Emerging Market, Emerging Debt Active International and Asset Allocation

Updated of subs and reds, pricing, update buy sell trades, dividend payout and reinvest, fees and other expenses, reconciliation against Custody and sub advised accounts against FA New account and removal of termination account from system and reporting

Portfolio update and reconciliation, dividend processing along with taxes – Corporate action /Settlement – ADR, GDR and DRs Merger and Acquisition of new securities, pricing and valuation

Worked with Custodians and Brokers in resolving aged dividend payments, pending shares or cash in corporate actions securities, assisting with IMS Team in getting corporate action preferences before the cutoff time

Ran all trade report using Aladdin every hour and report to Investment team the number of trades including the value of each trade and amount NAV reconciliations/NAV proof (first priority) – Yes at Morgan Stanley – Managed State of New Jersey Cash Management fund, Closed end fund and Liquidity fund

Securities accounting experience (global equities /fixed income (inclusive of High Yield, Bank Loans, Convertibles, ABS, MBS, Municipals, Governments, Corporate, EM)) = Equity Growth, Real Estate, Emerging Market, Emerging Debt Active International Private Placements and Asset Allocation

All strategies hold these securities and I have experience in updating pricing and daily trades

Worked with Risk Management in researching and solving daily and monthly reporting on the risk items. Also, when there is a deviation or error in investment based on agreement, alert notice is received and I work with the concern team and try to resolve them same day or within short period of time.

Handle Private Placement - New and existing deals, drafting documents, work with all participant Custodians from start to end, until the certificates are sealed in locker. Constant monitor the holdings to ensure they match with custody holdings. Once Original certificates are issued, ensure the holding match and it gets reflected on portfolio.

Client reporting PAM – Income and Earnings report, Valuation report

MVDD Calculations

Top Ten Stocks and Ten holdings in Portfolio

Percentile of each sector holdings using Pie Chart and Bar histogram

Monthly Cash flow reporting by each Manager with specification of brokers

Income and Expenses report – Sponsor fee and 12B1, Management fee and other fees

New account set up, account termination updates in PAS and main frame, Merger and Acquisition of assets and funds change of Custodian. Cash and position reporting.

Morgan Stanley Investment Management Services Senior Portfolio Associate

2007 – 2009

Managed Equity Growth, Real Estate, Active International and Asset Allocation

All of the above functions performed on Morgan Stanley Platform

Played a major role in Asset Management operation area converted from Morgan Stanley to State Street Bank

Testing of Main Frame DATA, daily operation and Client reporting (daily, weekly, monthly and quarterly reports) – Work performed on Excel and Word

Used excel in trade reporting (macros, pivot, vlookup, etc.)

Morgan Stanley -State of New Jersey Cash Management Fund

2002 – 2007

Monitored and reconciled the State of New Jersey Cash Management Funds cash and holding variances, resolving all discrepancies in accordance with departmental standards - Assets worth approximately $14 billion dollars

Monitored and verified daily incoming wires, process deposits to accounts, update daily purchase and sell securities - t bill, t-note, and commercial paper, and discount notes, certificate of deposits, ACH, wire and Check

Ensured timely and accurate calculations of daily /weekly / monthly rates and update the Portfolio Excel sheet

Updated holding securities price based on information received from Thomson Reuters

Reconciled every day transactions with the bank statement the following day. Calculate NAV End of Day

Send out monthly report on total outstanding assets and total investments and withdrawals report

Client reporting – Graphic Data Display Manager model was created by using APL System

Tax verification on dividend, trade buys and sells, and other securities m reconcile and resolve on any issues. Manually created, verified 1099 DIV annually and sent to Clients.

Morgan Stanley Fund Accountant – New York Money Market Fund and Closed End fund

Reconciled daily against bank statement all cash and position transaction and look for any issues and resolve them on a timely manner

Updated portfolio every day with daily Subscription and Redemption, security Trade purchase and sell and input Income and Expenses based on Custody information.

Updated holding securities rate by pulling data from Thomson Muni Market Monitor and Bloomberg System

Calculated NAV End of Day

Declared dividend and process NASDAQ pricing and MST pricing

Updated weekly and monthly report and process expenses data and report to Portfolio Manager

Monitored Cash projections and Cap stock throughout the day

Tax verification on dividend, trade buys and sells, and other securities m reconcile and resolve on any issues.

Morgan Stanley Investment Management Services Cash Controller - Senior Accounting Clerk 1999 – 2002

Monitored and reconciled Direct Deposit activity against bank statements

Verified funding for processing of open item through money movement sheets

Checked and confirmed trade and wire funds for various Morgan Stanley accounts

Ensured and reviewed reports for accuracy and timely distribution of reports to various departments internally within Morgan Stanley

Monitored and release funding for monthly and quarterly dividends

Prepared CDSC commission report and send it to each individual for every Mutual Fund on a monthly basis

Assisted in the resolution of I.R.S Claims on the Mutual Funds

Special Projects & Team work:

Lead person in Transition of operation function from Morgan Stanley to State Street platform – Focus on Cash and holdings on the Portfolio

Verified and solve any issues

Key role in new system launch test

Lead person in launch of Aladdin system at Morgan Stanley /SSC - Set up accounts, coding, securities updates, daily trade updates fees, commission and other Management fees

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