Sowmya N

Manager Operations

Contemporaneous learning and growth oriented career, in an esteemed organization. Professional working environment which provides Great Opportunities & Challenges for me along with the Organizational Growth.

MBA with 15years of experience in Capital Market Operations, Risk Management, Regulatory Compliance, Customer Support, New Process Development and Accounts

adzijn@r.postjobfree.com 804-***-**** Lexington, South Carolina, Visa type-L2

Managerial Skills and Strengths

●Leadership, Decision Making and Problem Solving skills,Multitasking- Can handle many assignments,Ability to prioritize, Responsibility,Futuristic, Stick to commitment, Maintain Inter-department relationship and Team work .

Technical Skills

Microsoft Excel, Vertical lookup in excel, Spread Sheet, Microsoft Word, Policy drafting, Email writing and management, Preparation of Directors report

Certifications :

NISM Series III-B: Issuers Compliance Certification Examination

Perusing-Quick books and Book keeping

Professional Skills:

●Risk Management: Developing new parameters to analyze and identify risks in each clients open position in F&O, Equities, and Currency Derv trades.

●Quality & TAT Management: To ensure the quality is attained, when an assigned task is completed, without affecting TAT. If possible, will reduce the TAT prescribed by the Organization’s Operational Activities

●Time Management: To prioritize the work and to ensure that the expected result is attained within the time allotted and got appreciation for the same from Senior VP.

●Team Management: Confidence to manage a team and to get the work completed within the stipulated time.

●Regulatory Compliance: Ensure whether all the business activities are happening as per the compliance norms and ensure timely submission of reports to exchanges and Depository -. Represented the Organization for Stock Exchange and Depository Audit.

●Projects : Executed Mergers of companies in a short span of 90 days . Handled multiple projects like Mergers, Single entity registration and registration with UIDAI on the same time and successfully completed all the projects within the given TAT.

●Educational Initiatives: Conducted many trainings to team members and franchisees on online account opening, usage back office software, compliance procedures, new products like India Inx, Trading through mobile app etc.

●Client Relationship: Created a good bunch of clients by following the simple qualities like Empathy, Exceeding expectations, precise, transparency, understanding their needs and acting accordingly.

●Preparation of Balance sheet and Profit and Loss and other financial reports.

●Reporting, MIS preparation and Capital Market Regulatory compliance

●Familiarize with ticketing tools like Asana and handled many regulatory related portals. Also very familiar with back office software.

Accomplishments/Achievements:

Risk Management techniques like Risk Reduction and Risk Avoidance were used to minimize the loss to the customers.

Got appreciation from the Senior vice president for completion of given complicated activity in a span of 3 hours. Also got appreciation from the Director for cross selling the Mutual fund and Insurance products. Got the Income tax refund of Rs 2 million by continuous follow-up with the Income tax authorities.

No penalty was paid to exchange due to delay submission of reports or non-compliance

Initiated new project India INX-international stock trading platform for customers to buy and sell in International exchange like Nasdaq, Dow Jones, etc

A client wanted to take up a franchisee and was negotiating with the management for almost one year. When I came to know about the same I fixed an appointment with the Senior Management and resolved the same within a week's time and it was a favorable negotiation for both . The franchisee brought an AUM(Asset Under Management ) for about Rs 100 million.

Projects:

Presentation of Project on “Comparative Study of broking firms and analyzed Unit Profitability with respect to Stock Holding Corporation of India Ltd".

Professional Experiences

●Paterson Securities (P) Ltd, India(2018 to 2022 April)

●Zebu Etrade Services, India( April 2015 to Jan 2018)

●Kotak Securities Ltd, India( Sep 2003 to Nov 2011)

Education

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

BCom (May 2001): PSGR Krishnammal College for Women. (Coimbatore, India)

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