Part of Settlement Operations Team as Senior manager with Yes Securities India Pvt Ltd (Subsidiary firm of Yes Bank) : Dec 2017 to till DateReporting To: Head of DepartmentHave been involved in daily monitoring and processing of Equity , Derivatives and currency settlement activities and to ensure all the operational activities are done as per the exchange regulations.Have handled and duly monitored securities trade processing, generation of Pay-in & Pay-out, contracts. Exchange Obligation and Coordination with DP. Timely reporting of all the relevant exchange and regulatory files.Completely involved in the set up and deployment of Inter-operatability process as per the SEBI regulations.Monitoring and Handling of Margin Trading Facility (MTF) process and ensure that the limits are updated properly.Have competently coordinated with regulatory authorities (NSE and BSE), IT Support, Solutions Group, Compliance and Client Services for resolution of systems issues, Client queries and Team queries in case of settlement and BAU hurdles.Daily monitoring of all exchange circulars and taking relevant action for the same. Also monitoring that all securities account are being reconciled.Monitoring and handling of pledging of shares by the client with PCM.Implement and monitor the policies and procedures as set by compliance so as to enhance compliance activities.

• As part of the Settlement and KYC Operations have handled the complete processing of Equities- Securities Clearing and Settlement Processing of Private Client Group and Institutional clients. • Efficiently handled securities trade processing, generation of Pay-in & Pay-out, contracts. Exchange Obligation and Coordination with DP. Margin Reporting to Exchanges. • Handled BAU for Clearing and Settlement with minimal operational errors. Providing constructive opinions to seniors to mitigate operational risks.• Handled the Account Opening Module from the perspective of Verification of the Forms, System Activation and UCC generation. • Have ensured that the KRA has been appropriately done for all clients as per SEBI guidelines.• To ensure that for all the trading account being opened before AML and Google check.• Handled cases for client requests for Change of Credentials of address and other details.• Have proficiently handled systems & application level testing for the deliverables sent by the Vendor for the Back Office Processing system.• Have always adhered to the set processes so that there are no observations / remarks in the internal as well as the regulatory audit for settlement and account opening activity.• Have competently coordinated with regulatory authorities (NSE and BSE), IT Support, Solutions Group, Compliance and Client Services for resolution of systems issues, Client queries and Team queries in case of settlement and account opening hurdles.

• As part of the Settlement Team leader of Operations have handled the complete processing of Securities Clearing and Settlement & Derivatives Processing. • Efficiently handled securities trade processing, generation Pay-in & Pay-out, contracting, Exchange Obligation and Coordination with DP. Margin Reporting to Exchanges. Margin Shortfall MIS.• Actively participated in the systems & application level testing for the deliverables send by the Vendor for the Back Office Processing system.• Handled the Account Opening Module from the perspective of Verification of the Forms, System Insertion and System Activation.• Was part of the Gurgaon Branch setup for core activities migration Team and completed the entire activity in a span of less than 2 months with due diligence to the standards set by Operations Head and Compliance Head.• In the transition phase to Gurgaon educated the new team with the Account Opening Best Practices and have explained them the same through exhaustive presentation and discussions. • Have documented the Exhaustive Account Opening Operations Procedure Manual which was used as a reference document by Sales, Acquisition and Lead Managers for Procuring exact client documents adhering to the SEBI norms of KYC and expedite the Customer account Opening process.

Handled the Account Opening activity for trading and depository account. And was part of the forms scrutiny team verifying the documents thoroughly as per the requirements & guidelines of SEBI and NSDL.Through experience of daily pay-in and pay-out process. Daily informing the broker’s and client’s before pay-in their fail and over-due statues of the instructions given by them.Addressed grievances of the Corporate Clients, Individual Customers and took appropriate measures for the reddresal of the same.