Vishwanath Rathod Email and Phone Number

Roles and responsibilities: *Trade support and Middle office Operations of Cash Equity, Stock Lending and Borrowing for EMEA region. Trade pre-matching for all SBL (Stock Borrowing loan), FOP, cash trades and communication with counterparties, agent banks and internal teams to resolve trade mismatches.*Pre-matching all the trades booked via Middle office application and chasing and liaising with CP for matching.* Fail management including timely matching, stock borrowing request, fails coding and narration in Fire star and Gloss Ensuring all the trades confirmation and call-in request are sent to client and brokers before the cut off.* Responsible to work on all Trade confirmations on Trade date and allocate to proper accounts.* Amending the trades were mismatch and releasing instruction from Easyway, Solar and EFP * Exceptional queue management, releasing trades from EFP and solar queue, were negative acknowledgment, system feeds issue.* Ensure all the SSI’s and new request are update and completed before the value date.* Responsible for settlement of globally markets.* Monitoring and supervising all high risk, high net and big issue Trades.* Checking Rejection trades in Equilend and Pirum actioning accordingly. * Reduce failing trades and increase settlement efficiency, chase counterparty to match our SSI, BIC code as per DTC Alert* Custody position and depot management where applicable (DTC to Euroclear)* For SSI’s set up liaising with static team to update the SSI’s as per Alert, Pirum and Equilend* To perform day-to-day trade & position reconciliation and analyze all the breaks arisen from the related reconciliation reports to ensure proper control and measure the associated risks on all outstanding breaks.* Stakeholder management including liaison with Trading sales, client service,* Assisting colleagues in the team to deal with high volumes.* Follow procedures and checklist and escalation to management when exception

As a part of Settlement team successfully did transition from Wipro to credit Suisse .Working independently for Euro clear market.▪ Trade pre-matching for all cash and repo trades and communication with counterparties, agent banks and internal teams to resolve trade mismatches.▪ Fail management including timely matching, stock borrowing request, fails coding and narration ▪ Creating Net off cash and Repo trades and releasing the payment MT202▪ Exceptional queue management, releasing trades from swarm queue, were negative acknowledgment, system feeds issue.▪ Amending the trades were mismatch and releasing instruction from Easyway.▪ Responsible for settlement of globally markets.▪ Monitoring and supervising all high risk, high net and big issue Trades.▪ Client statement and confirmation creation ▪ Reduce failing trades and increase settlement efficiency, chase counterparty to match our SSI, BIC code as per DTC Alert▪ Custody position and depot management where applicable (DTC to Euroclear)▪ Raising CMA and following up with cash team to arrange funding’s for insufficiency cash trades▪ Reconciliation of depot and nostro accounts including timely resolution of break and narration.▪ Stakeholder management including liaison with Trading sales, client service,▪ Assisting colleagues in the team to deal with high volumes.▪ Follow procedures and checklist and escalation to management when exception or changes are identified ▪ Supporting new business change initiatives (new market/trade enable/product) ▪ Reporting client on team performance with preparation and presentation of Failed Trades reports (weekly& monthly basis) also updating tracker on daily & monthly basis.▪ Reporting client on KPI’s daily basis.▪ Train and monitor new joiners in the process

As a part of Settlement team successfully did transition for Arrow Street , Alliance Bernstein, Alliance Global.investor and State Street Global Market and perform all the major task as per agreed SLA & CAP Module.Client invited to United kingdom State Street office for business meeting and training purpose for 01 month.After completion business meeting and training successfully completed Transition from United Kingdom to India. After completion the transition process, prepared SOP for all major taskTrade Settlements from the IM Perspective for Equity & Fixed income securities covering FED, DTC, LATAM, Handling pre-settlement, post settlement and fails management activities for the clients Carried out Pre and Post Settlement functions, which involve Pre-matching/Affirmation in order to avoid fails,Was a part of Fails team which investigates trades that have failed in the market and work on settlementrelated issues like Buy Ins/Sell-OutsPerformed Corporate Actions jobs like Acquisition, Stock split, Mergers, Delisting security from the market,Security ID change etc. Settle failing trades by liaising with various external clients, brokers, local agents & custodians Instructing Custody via MT540, MT541, MT542 and MT543 instead of FAX to reduce manual work thus reducing risk in delay settlement of tradesMonitoring and supervising all high risk, high net and big issue Trades. Reduce failing trades and increase settlement efficiency, chase counterparty to match our SSI, BIC code as per DTCAlertLiaising with other global settlement teams, reconciliation teams, custodians, brokers and clients either via email or telephone to resolve all trade issues, settle the trades on time, and reduce the risk arising out of failing trades.Solved the Reconciliation queries and breaks and worked on ad hoc tasks like DK, SPO’s , FX and partials etc.Got Client appreciation for handling Buy-Ins and for prompt escalation of the fails trades.

Roles & ResponsibilityProbing the various investment products• Equity, Derivative, Commodities, Currency, Mutual Fund, ETF, Bonds & services to client• Research information, market outlook, order trade details and confirmations• To undertake day to day dealing on the exchange• My privilege to serve the best in achieving client investment goal• Trade capture and trade conformation• Taking care of trade, settlement and risk management with client• Trade order- Reconciliation• Analysis on customer portfolio and trades• Restructuring client portfolio• Handling the issues pertaining to clients trading account• Arrange Educational Training on how to Trade in the Stock Market• Report the daily activities to manager through MIS