Sonal Jaiswal
About Sonal Jaiswal
Process: - trade processing The responsibility of this role to book the equity or derivative trade after execution and send confirmation to client and trader before settlement. Providing support to APAC/EMEA & US by FTS, mail, reports calls. Manage the client operation details regarding equity trades and settlements & their funds supporting calls from onshore. Providing support to other team to clear pending trades. Taking SOD & EOD calls & providing daily updates regarding critical clients and aged trades/ T+1 and above trades/ discussing issues, working on new account or new fund or any static issue and escalation. The scope of accountabilities also includes quality assurance and confirmation part in trade life cycle with the risk management and resolving client queries regarding trade booking and confirmation. Helping settlement team, if any mismatching coming while settlement. Process: Analyst - (Northern Trust from Apr 2014 to 11 Mar 2016) - UK Registration (Client on-boarding / Dealing) - The primary responsibility of this role is to manage UK, Ireland and Guernsey mutual fund which includes Register Services, and to provide end-to-end support to client within permitted time. Subscription, redemption, switches direct debit income mandate, anti-money laundering (AML) and supporting Ireland Dealing team to place the new subscription form are main KRA of my job profile. With in-depth knowledge of transfer agency with business analyst skill, hands of experience on AML/KYC, Due Diligence, EXPAG, CITRIX, Multifonds (MFTA), workflow, FATCA, lotus notes, outlook. Job Responsibility: Operation Executive - (BNY Mellon) -US Transfer Agency, under Asset Servicing Department. Maintenance of Share Holders account which includes change to existing financial and non-financial information that is requested by the shareholder, broker of record or other authorized party. Applied changes request, updated version and addendums i.e., FATCA, AML, KYC, client’s account etc.