Risk Management Investment Banking

Surobhi Dutta

Finance Specialist

Trading Investment Banking Risk and

Compliance

+1-408-***-**** ***********@*****.***

Visa - L2S Work Authorised

At a glance

Strategic and results-oriented professional with

6 plus years of experience in the finance

industry. Proven track record of facilitating

complex financial transactions and providing

tailored solutions to meet clients’ investment

objectives. Proficient in conducting thorough

trade analysis, identifying exceptions and risk

assessments to drive smooth trade life cycle.

Education

Bachelors in COMMERCE

CGPA 8.9/10 Jain University, Bengaluru 2015-18

Technical Skills

MS Excel, Tableau, SQL

Extra Curricular

Morgan Stanley Cultural Team

JAIN University - Indian Dance Team

Personal Interests

Dancing, Travelling and Cooking

Professional Experience

Millennium, Bengaluru

Specialist 05/2023-08/2024

• Execution, Reconciliation, and confirmation of trades for various Portfolio Managers in different trading platforms.

• Monitoring trades for compliance with regulatory requirements, investment guidelines and internal trading policies.

• Identifying and assessing operational risks associated with trade processing and settlements.

• Collaborating with Portfolio Managers to understand the trade related inquiries, needs and preferences and provide customised solutions.

• Continuous evaluation of processes, systems and workflows to identify opportunities for efficient gain, risk reduction and automatic. Initiatives . Morgan Stanley, Bengaluru

Senior Associate 01/2022 – 05/2023

• Managing the the entire life cycle from inception to settlement

• Collaborating with internal stakeholders, including traders, sales team, risk management, operations, and technology teams to facilitate seamless execution.

• Documentation of compression process and providing reports to relevant stakeholders, including regulators, clearing houses and internal risk management teams.

• Automating trade capturing system by introducing internal platform and eliminating Excel macros

• Guiding the team by fostering pen communication, team building activities and driving continuous improvement initiatives

• Received SPOT Award for outstanding performance in handling the process alone amidst resource constraints by collaborating with cross- functional teams and implementing innovative solutions to optimise processes.

Associate 04/2020 – 12/2021

• Reconciliation and matching of trades by detecting discrepancies, and errors as well as implementing controls and procedures to prevent the same in future .

• Analysing market data, pricing information through Bloomberg and Reuters.

• Quantifying and assessing the potential impact of each identified risk by continuous monitoring trading activities and risk exposures in real-time.

• Helping pears by equipping the knowledge, skills and tools required to understand and execute trading and forming various trading strategies.

• Received SPOT Award for outstanding performance in handling the process alone by demonstrating initiative, dedication and problem solving skills.

• Being promoted on the fast track ahead of peers by surpassing targets and goals set by the organization.

Analyst 06/2018 – 05/2020

• Offering assistance and support to help client onboarding by setting up accounts and access to online portal and tools.

• Monitoring service agreements which involves overseeing the teams, performance and compliance of contracts between a service provider and the clients.

• Conducting thorough investigations to identify trade exceptions by analysing trade data, transaction records, legal language and communication logs.

• Conducting regular calls with brokers to resolve service agreements by identifying the discrepancies or issues bring during the trading process.

Contact this candidate