ROHIT.

S
Bangalore, India
: +91-9980400782 |  Rohitr44@gmail.com | LinkedIn: Rohitr44@gmail.com

SUBJECT MATTER EXPERT - WITH 6+ YEARS EXPERIENCE IN BFSI (INVESTMENT BANKING &
CAPITAL MARKETS)

Excellence in ensuring extraordinary performance in operations and achievement of individual / group targets in
a fiercely competitive scenario

Innovative and dynamic, Finance Professional with rich experience SKILL SET
in end to end process aiming for success in field of Financial  Mutual Fund Portfolio Reconciliation
Services, Research and Analysis across high-growth environments,
 Corporate Actions, Asset servicing
handling complex business problems while generating superior
returns through thoughtful and strategic decision-making  Swift Messages(MT101,MT103,MT202)
 Analysis, Evaluation and Interpretation
Seeking a fulfilling position in top Organizations Position which
provide considerable advancement opportunities, dynamic working
 Fund Accounting, Fund Services
environment and continued personal and professional growth  Financial Reporting, Client Reporting
commensurate with achievements and offer challenging assignments  Cash Management Services, Cash/Treasury
to utilize my leadership skills and experience in executing projects &
operations ,Transfer of Assets
programs in challenging business environments demanding high
standards of quality and precision demanding superior interpersonal  Reconciliation, Versus Purchase, Middle
skills and ability to establish lucrative and significant relationships. office operations, IRA Conversions.
 Distribution, Subscription & Cost Basis.
I maximized many great opportunities to work on challenging
 COB,KYC,CDD,EDD Risk & Compliance
projects, when two critical proficiencies developed tremendously:
 Expertise in serving clients across different geographies.  Account Closure & Re-opening
 Proven track record in Streamlining Work Procedures,  Data Enrichments, Transaction Processing
Standardizing Internal Controls and finding Solutions quickly. & Management
 Completed successfully project for Accenture client LPL  Comprehensive Problem Solving Abilities.
Financial on contributing for automation and I took intiative
IT SKILLS
over the collaborating and listing the Cusips available in DST
tool to automation tool.  Advanced MS Office Skills (Word, Access
and PowerPoint)
 Well versed with web based applications
like DST, Performance Data Tool,
DEL,DPL &PEP, Worldcheck, PeopleSoft.

SCHOLASTIC
 Bachelor of Commerce – K.L.E.S Nijalingappa College, Bangalore University
 P.U.C – B.N.E.S Pre-university College, Bangalore University

EXECUTIVE HIGHLIGHTS
 Received ‘Accenture Operations Summit Awards’ Numero UNO (IC) for May FY15 across Accenture.
 Won “Sprit of Wining Culture Award” Organized by MphasiS Ltd for twice in a year 2011 and once in a year
2012 & Received client appreciation for the expertise shown on the process.
 Appreciation mails from the client for training new joiners and from the Management team.
 Awarded “Outstanding Team Performer” for the Quarter & “Star of the month” for consecutive months.
 Won Best consistence Performer Award for the year 2011 & Maintained 99.99% Accuracy & 100% Quality for the
Year.

CAREER CONTOUR
Currently worked as Senior Advanced Analyst (PAS-EMS)in Ernst Young from Aug 2017 to Dec 2018.

Organization Designation Duration

Accenture Pvt Ltd, Bangalore  Senior Associate Feb 2014 – Aug 2016
 Igate Global Solutions, Bangalore  Associate (Alpha-B) Dec 2012 – Jan 2014

Mphasis an HP Pvt Ltd, Bangalore  Senior Associate Jan 2010 – Dec 2012
Key Deliverables in EY (Supporting European Region in Tax, Risk & Compliance, Invoice, Global Billing &
Accounting)

 Coordinate with clients to ensure they meet their tax filing deadlines, assisting in project support tasks (getting
required documents from assignee to prepare tax returns, Project, PMO)
 Manage Client’s confidential data (such as SSN, salary, DOB, property details, family details etc.) for
providing solutions to their queries related to tax filing deadlines and filling out Tax forms in a secured
manner.
 Research employment tax legislation and regulations so you can address specific client queries.
 Follow up timely with respective countries local offices and chase for pending data which has to be obtained
from the Assignes/Clients for the tax briefing.
 Communicate with Tax Department, HR personnel and EY global offices to structure the timing of
assignments of clients & educating the assignees about the risk involved if they not provide required data
within deadline.
 Preparing various weekly/monthly reports pertaining to process & collecting the electronic and manual
consents for assignee before contacting him.
 Processing the Invoice, Global Billing and Also, briefing clients about Tax laws associated for different
countries during their assignments in those countries.

Accenture Pvt Ltd. Bangalore Feb 2014 – Aug 2016

LPL FINANICIALS- Operations ( Fund Services, Reconciliation)

 Performed daily accounting functions for assigned mutual funds, which include the calculation and distribution of
net asset values for various investment products, including mutual funds.
 Calculated the net asset value per share of a mutual fund & Reviewed the calculation of the NAV and audited daily
financial statements
 Processing of Corporate Actions like Stock mergers, Cash mergers, Cash stock mergers, Taxable spin offs and
Non-taxable spin offs on a daily basis
 Process Versus Purchase for securities daily basis on the OTC request.
 Prepared daily reconciliations of cash and positions and resolved any discrepancies.

 Processed trades on a daily basis and reconciled trade activity between accounting system, advisor trade tickets,
and custodians
 Experience in Reconcilliataion( Stock\Holding Reconcilliation)
 Responsible to match stock and cash breaks in Performance Data Reconciliation System.
 Analysing security and cash positions to identify discrepancies between customer’s position and counter party.
 Updating the Cost basis information of client received from other Contra firms & swapping of shares as per client
request, Transfer of Assets/funds.
 Facilitating desired cost basis for client and updating the cost basis through ITS(Incoming transfer statement).
 Processing the Corporate Actions as per event & information given by client.
 Rectifying the breaks/exceptions in the account which are made by system or manual.
 Analysing security and cash positions to identify discrepancies between customer’s position and counter party.
 Processing Corporate action events like Spin-off, Distribution, Reverse Distribution, Stock Split, Merger & Acquisitions
etc.,
 Updating the new value/price for a share and new quantity after the Corporate Action event.
 Performing Asset management/servicing activities US based Brokerage/Custodian Bank.
 Knowledge about Trade Life Cycle, Corporate Actions and Crossed training Cost Basis.
 Oversee all areas of a business and play a key role in implementing any operational changes and delivering
measurable improvements. Design and implement strategies to ensure continuous process improvement.
 Performing party creation like Custodian bank details, Transfer of Assets.
 Strong experience of business domains i.e Cash payment/ Reconcilliation,/Cost Basis\Corporate actions.
 Liaising with various internal teams and third parties of client across US regions.
 Collaborating and scheduling weekly call with onshore, business managers,and middle office for exception
remediation, to arrive break fix solutions and bridge the gaps between the teams.
 Validate the settlement instructions like Alert, Account Number & BIC’s through Swift portals.
 Investigation and Reconciliation of SSI’s(Standard Settlement Instructions),which are retrieved from web based
application’s updated by priority clients.
 Resolution of client issues through research and analysis and verifying information both from internal and external
sources, knowledge of applications like bloomberg.
 Extreme attention to accuracy and resolving the process queries. Work allocation and Checklist Maintenance on
daily basis.

Igate Global Solutions DEC 2012 – Jan 2014

Union Bank of California

Senior Associate – Account Closure Unit (Payment/Cash Operations)

Responsible from the time Account closure/re-opening request initiated.

Deliverables:
 Supporting the Bank in the operations of Cash Management Services.
 Transferring of funds globally & approving the LOI/LOA sent by client.
 Reconciliation of transactions & approving the wire transfers from internal side.
 Handling the Account Closure Process for Union Bank of California.
 Process Involves:
 Bank Initiated Closure
 Client Initiated Closure
 Re-Opening of Accounts
 Transfer of Funds to client Internal UBOC accounts & sending remaining funds to clients address on file.
 Verification of Signature & KYC Checks while closing Accounts.
 Recovering funds while closing of accounts & closing ODP(Over Draft Protection) & CRA (Cash Reserve
Account) facility.
 Balancing of GL & posting the loss to necessary Ledger & Blockage of ACH & EFT
 Researching on the losses accrued to bank due to bank & service charges and posting that in to necessary Ledger.

Highlights & Job Responsibilities:

 Ensuring Team SLA Met & Handling queries, Clarifications of Team.

 Ready expose to the critical situation in the team and like to take an initiatives.
 Capable of managing the queue on time i.e. SLA items as well as worked on many expedite jobs and appreciated
by client.
 Reconciling the accounts processed for previous day & updating the same on Call-back folder.
 Rechecking of Loss forms, GL & RC numbers are correct.
 Performing Internal QC for the team members & maintaining tracker for QC reports.
 Maintaining internal reports & sending EOD reports to client on daily basis & Preparing agenda & MOM of
Meeting.
 Training the new Joinees about process & Maintenance of updates folder on regular basis
 Monitor Email and Inbox Management. Responsible for replying onshore email on priority basis.
 Relationship management with the International Clearing Houses.
 Managing and controlling the day-to-day activities of the process including EOD reports.
 Monitor and control the workflow management & Cross Trainings to ensure contingency backups.
 Initiating Team Meetings to furnish up to the minute update.
 Point of contact for escalation for all the process related queries.
 Part of processing AML (Anti Money Laundering) and KYC (Know your Customer).

Mphasis An HP Company Jan 2010- Dec 2012

TD AMERITRADE (Treasury Operations, CMS, Transaction management)

 Managing Data analysis for a US based Brokerage/ Custodian Bank.

 Capturing Manual Payments on timely basis and approve the same & make sure payments reached client on time.
 Supporting the US based Investment Bank in the operations of Cash Management Services.
 Verifying the different types of checks issued by the clients, Transfer of Assets.
 Transferring funds into the respective client account & Dealing with money movement of the bank.
 Analyzing the type of IRA retirement accounts and processing as per the request (conversions).
 Reversal of fees to the respective client accounts & Issuing pre-printed checks, re-order of checks and Debit Card.
 Verifying the funds history of clients while transferring funds, Signature verification.
 Researching & updating the Inbound and outbound Wire Transfer (Outgoing Wires)in BOS (back office system).
 Researching on Wire Transfers (Domestic &International).
 Cash management Services (CMS), Debit Card and Check Requests.
 Ensure a KYC checks, nationality Checks has been followed and proper checks has been completed and recorded
in the image notes.
 Responsible for reviewing and ensuring all required AML / KYC policies, Regulatory requirements for existing
clients are still in place.
 Analyze Client data, documentation and negative news in order to determine Client Risk Profile as established
under the Global KYC Procedures.
 Import relevant documents in the CRM document system, verify and assure that customer is not on any list of
known fraudsters, terrorists or money launderers.
 Extensive research of data from client approved sites such as company websites, Stock exchange and regulatory
bodies for all client customers.
 Classifying the entities based on the Risk level and country of risk.
 Performing ACH & wire transfer for clients based on the requirement through authorized LOI/LOA.
 Performing callback details with confirmation for cash payment setup to release the payment.
 Interacting with client for cash payment transaction if required any necessary details for bank account and
transferring cash & stock based on the request.
 Performing CDD, EDD on new customers during account setup, account maintenance activities.
 To ensure adherence to meeting quality checks in the process and procedures.
 Tax calculations as per the Client requirement on the requested cash, stocks.

Job Responsibilities:

1. Workflow Management:
 Ensuring volumes are cleared within Turn around Time(TAT).
 Prioritizing the queues that needs to be cleared first based on client request (Clearing SLA queues).
 Handling queries of the team & Handling team in absence of Manager.

2. Report Management:
 Preparing productivity tracker by collating data from team on daily basis
 Sending mail to onshore team regarding status of work items.
 Preparing MIS Reports like Productivity on weekly & monthly basis.
 Trend analysis using MS-Office & Action Plans required for the month and sending it to manager.
 Applying company policies and procedures to the process without any errors.
 Taking initiatives in Training the Team regarding the Process & Updates if any.

Personal strengths:
 Team building capabilities.
 Self-confidence, positive thinker & quick learner.

Extra-Curricular Activities:
 Won Inter College Cricket Championship held in Bangalore.
 Interested in playing Cricket, Badminton & Other sports.

Personal Details

Date of Birth : 14th April, 1986

Father’s name : A.N.SIDDALINGAIAH
Mothers’ name : B.JAYALAKSHMI
Address : #51, 8Th Main Road, 4th Block, Nandini Layout, Near, Balaji Medicals.
Nandini Layout. Bangalore -96, Karnataka
Languages Known: English, Hindi, and Kannada.
Nationality : Indian
Phone no : +919980400782
Declaration:
I hereby declare that the information furnished above is true to the best of my knowledge.

Dated:
Place : Bangalore (ROHIT S)