CURRICULAM VITAE
Name : Sweta Shah
COMPETENCIES
• Knowledge of Asset Management Operations in Middle East.
• Knowledge of Banking Cash Management Operations and Capital Market deals.
• Experience of developing procedures, service standards for business excellence.
• Experience in implementing effective solutions to the customer needs, with an aim to improve customer contentment.
• Proficient in Computer Fundamentals, MS DOS, Windows 98, MS Office.
WORK EXPERIENCE
ING Investment Management Middle East –Dubai ( 11th September 2011- 1st July 2013)
Profile: Operations officer for Mutual Funds/Portfolios
Description:
• Computing & Reporting the estimated daily available cash positions to the Fund Managers for trading.
• Cash & Share Reconciliation of portfolios/mandates.
• Act on instructions such as shares and cash transfers.
• Daily Trade processing with the custodians.
• Support on Compliance Monitoring & Reporting.
• Create a standardised Operations manual that reflects actual processes done.
• Run and manage complete new client on-boarding Mandate.
• Manage new broker on- boarding process for trading.
• Prepare monthly and quarterly reports for Internal & External parties (Client and Fund accountant).
Achievement:
• Identified reliable the method for reconciling the Mandate/Fund
• Performed a exercise to compare the commission agreed to be paid to different brokers market wise and the commission actually paid by ING in the past 2 years (2010- 2011). And it was Identified that the excess commission of around USD 30,000 paid by ING to a Broker and accordingly the broker was convinced to pay the same back into ING’s account.
Skills Achieved: Knowledge and understanding on various web based portals used by custodians.
TCS Eserve -Mumbai (21st April 2008 – 23rd April 2010)
Profile: Assistant Manager for two departments Management of Information System (MIS) and Issue Service division (ISD).
Description:
MIS
• Understanding customer requirements and managing customer queries, expectations accordingly.
• Continuous effort in reducing the manual interventions, inorder to nullify the error probabilities.
• Introducing auto reports to the team signifying system health check.
• Suggesting continuous improvement plans to the techmical support to cater to the incremental MIS’s demanded by clients.
Project undertaken: System migration from Citibridge to CSDS
- Migration process formulation to implementation
- Testing the functionalities post migration.
ISD
• Adhering to the Regulatory requirements and Company Policies wrt. Capital Market Deals.
• Keeping the process updated as per the market and the regulatory requirements.
• Conducting the deals in which Citibank is a banker to the issue, briefly comprises of the below activities:
- Understanding of the client requirement.
- Receiving all required documentation from the client as per process
- Instructing all the branches on the instruction received from client.
- Reconciling client funds from the collection to the final disbursement
- Issuing of the Certificates as per the timelines confirmed with the client
- Taking care of the funds transfer.
• Acting as a single point contact between Citibank branches and Registrars/clients.
• Coordinating for the deals where Citibank is the ASBA banker.
• Addressing the client and the investor grievances during and post the deal.
Projects Undertaken: Implementation of new process Application Supported by Blocked Amount (ASBA) for Citibank
- Attended NSE/BSE meetings on the ASBA process as a representative for Citibank
- Participated in the NSE/BSE testing.
- Framed the complete process for conducting ASBA deals.
- Trained branches on the process.
Unit level Activities:
- Weekly study and reporting of volume generating factors and achievements
- Monthly study of Service Level Agreements (SLAs), Volumes generating factors, Account reviews, Productivity analysis and Attrition reportings.
- As a Risk control & Self Assessments (RCSA) tester have conducted quarterly audits.
- Have been a part of 1 half-yearly ISO audits.
Other Project undertaken: CGSL to TCS Eserve migration
SUMMER INTERNSHIP PROGRAM
Organisation: ICICI Bank (Headquarters), Mumbai.
Project duration: February – May, 2007 (14 weeks)
Project title: Implementation of Operational Risk Management Framework in Home Loans
Description:
• Understanding the process of identifying the operational risks faced by RAPG- Mortgage Finance
• Understanding the Basel II norms and RBI requirements for operational risk management
Reviewing and validating Business Line Mapping, Control Sheet, Building of the Risk Control Library (RCL), Working on the Risk and Control Self Assessment (RCSA) and emphasizing on Operational Risk Measurement process, which includes Incident Reporting.
