Sameer Gurnani Email & Phone Number

Mumbai Metropolitan Region

Investor Services and AML/KYC:-• Develops, coordinates, and enforces systems, policies, procedures, and productivity standards.• Manage team and instruct them regarding new process update on timely basis.• Manage client relationships and interact with hedge/PE fund principals and their investors.• Define objectives, identifies and evaluates trends and options, chooses a course of action, and evaluates outcomes.• Communicate effectively and efficiently with relevant internal and external parties to acquire KYC/AML documents• Performing due diligence for existing clients, requesting the KYC information, documentation, review and verification of received documentation and making an analytical risk assessment for clients.• Provide training on KYC / AML to colleagues and other departments as required• Investigating high risk clients and reporting where necessary, including politically Exposed Persons, and acquiring all necessary documentation to complete the client file• Review, understand and discuss governing documents of the client (hedge/private equity funds)• Perform 4-eye check as part of verification process.

Mumbai, Maharashtra, India

Account and Reference Data Management, AML & Due DiligenceEnsuring client KYC has been completed before reaching out to external agents for account openings.Perform remote client money/cash &custody Due Diligence by preparing a questionnaire as per the stakeholders and regulatory requirements.Working on independent credit assessment on the agent banks and report/note action points on the findings along with RM.Worked as part of the Global Client Management Enhanced Due Diligence Group.Act as a one-stop shop and expected to be a bridge between Business Users/Clients/Operations and deliver task on time.Preparation KRI Packs, MIS for capacity utilized and providing Monthly Analysis of business to Senior Management.Cascade all new updates/changes of a process in a team, business users and trained to juniors in the team.Reconciliations and Investigations.Assist with Audit request information and responses.

Currently Woring with Nomura Services India Pvt Ltd Duties and Responsibilities of Client Static Data:- * Creation, maintenance and updates for Legal Entities, counterparties, branches and sub-accounts ; * Creation of Unique id for each counterparty in the upstream to facilitate trades in downstream ; * Mapping alerts, acronyms and creation of systems code for internal use ; * Creating and Updating of Swift codes based on SWIFT.com ; * Collecting of relevant approvals for special type of counterparties (Internal Counterparty, Give-up accounts)Duties and Reponsibilities of Call Back and confirmation:- * Performing the call back to confirm the SSI with client ; * Updating the confirmations contact of client on internal system ;

Mumbai

Duties and Responsibilities of derivatives settlement process Pre and Post:-The work involves following activities:-• Confirmation of cash flows before the value date.• An email is send out with the cash flows details related to trade I.e Amount , currency, Bank Details , value date, counterparty name etc.• If the counter party confirm the cash flow transaction and accepts the cash flow. After that amount is released.• If there is no response from the counter party than amount cannot be released.• If there is discrepancies in details than transaction cannot be settled.• Handling client queries for cash flows at post-settlement stage.• Raising issue to concerned team.• Clearing of post-settlement breaks in an urgent fashion.• Settle funds as soon as details are confirmed. Duties and Responsibilities of securities setup:-• Working in team which update securities like Equity, Bonds, Warrants, CMO (Mortages) on the basis of Bloomberg, EuroClear, London Stock Exchange, Thomson Reuters, Clearstream.• Working in team that handles inter system reconciliation and reference data management.• Familar with vendors like Euro Clear, Bloomberg, London Stock Exchange, Thomson Reuters. Challenging vendors and updating common code, sedol.• Handling team of five persons. • Communicating with client and providing updates.Duties and Responsibilities of corporate actions:-• Working on corporate actions like Id change, Name change, Listing, Round lot Size, Delisting.• Downloading files from different vendors like BLOOMBERG, EuroClear, Clearstream, London tock exchange and Thomson Reuters.