Risk Management Customer Service

SOWMYA NAGESWARAN

*********@*****.*** 804-***-**** Lexington, South Carolina

Eligible to work in the US immediately (Visa type-L2) FINANCIAL PROFESSIONAL

MBA with experience in capital markets, finance operations, risk management, regulatory compliance, customer support, new process development, and accounts management. A determined and future-focused leader able to juggle multiple priorities and provide high level customer service in fast-paced environments. Areas of Expertise

Risk Management

Regulatory Compliance

Project Management

Investment Strategy

Employee Training & Supervision

Mergers

Client Relationships

Quantitative Analysis

Securities

Quality Management

E*TRADE

Team Collaboration

Technical Skills

Asana, Microsoft Excel, Microsoft Word, Regulatory Related Portals, back-office software (AML), Policy Drafting, New Process Development, CRM ticketing tools Certifications

National Institute of Securities Markets (NISM) Series III-B: Issuers Compliance Certification Examination Bookkeeping and QuickBooks (Udemy)

EXPERIENCE

Paterson Securities (P) Ltd., India 2018 to 2022

Securities Brokerage firm in Indian capital market (Members of the National Stock Exchange and Bombay Stock Exchange), Portfolio Management Service (SEBI Registered), and Investment advisory services, Depository Services (Through CDSL), distribution of Mutual Fund products and Insurance Products. Customers include leading financial institutions, large corporate groups, high net worth individuals and a large retail clientele. Manager, Back Office Operations and Accounts

Managed team of approximately 10 employees, 15 franchisees and franchisee registration . Designed KYC booklet for new customer account opening

Exceeded client expectations in all transactions and showed transparency in interactions, increasing sales opportunities. Closed sale in 1 week that management was unable to close over one year, with a favorable negotiation for both sides.

Submitted all reports to exchanges and Depository on time and ensured compliance norms were met.

Initiated development of India INX-international stock trading platform for customers to be able to buy and sell on international exchanges including NASDAQ and Dow Jones.

Trained team members and franchisees in online accounts, back-office software, compliance procedures, and new products as well as on mobile app trading.

Prepared Standalone financial reports and worked with Auditors for Finalization of Accounts

Received recognition for completion of highly complex project in 3 months.

Cross-sold mutual fund and insurance products, receiving praise from director.

Communicated regularly with income tax authorities to ensure receipt of tax refunds. SOWMYA NAGESWARAN, page 2

Zebu ETrade Services, India 2015 to 2018

Innovative stock brokerage firm focused on filling technological and service gap that hinders traders’ and investors’ growth to increased returns. Offer trading platforms across devices, single margin for trading across asset classes, and order generator for research analysts and investment advisors.

Operations Manager

Managed team of approximately 15 employees and 15 franchisees.

Executed tasks related to company mergers in under 90 days.

Handled multiple projects simultaneously including single entry registration, and registration with UIDAI, as well as mergers within given Total Action Time (TAT).

Ensured compliance of all business activities and submitted reports to stock exchange and depository avoiding penalty fees.

Represented Organization for Stock Exchange and Depository audit. Kotak Securities Ltd., India 2003 to 2011

One of India’s oldest stock broking companies, offering full-fledged investment services across asset classes, including equity, debt, mutual funds, commodities, and currencies - through a single-login platform. Manager, Operations – South Zone

Developed new parameters to analyze and identify risks for each client’s open position in F&O, equities, and currency derivatives trades.

Recognized for ability to prioritize work and achieve expected results consistently.

Promoted to manage a team of 15 employees and 25 franchisees. EDUCATION

Master of Business Administration (MBA), Avinashilingham University, Coimbatore, India May 2003 Specializations in Finance & Systems

Bachelor of Commerce (BCom),PSGRKrishnammal College for Women, Coimbatore, India May 2001

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