ROHINI GOUTAM
Copenhage
Summary
As a Senior Manager Settlements and Stock Transfer , I have over 14 years of experience in the investment banking industry, specializing in trade operations across various markets and instruments. I am responsible for ensuring the timely and accurate settlement of trades, complying with regulations and client requirements, and managing risk and operational efficiency. I am a PMP-certified and Six Sigma-trained professional, with a track record of implementing process improvement projects that have reduced errors, increased productivity, and enhanced customer satisfaction. I have also established strong partnerships with internal and external stakeholders, such as traders, custodians, brokers, and regulators, to resolve issues, optimize workflows, and deliver value. I am passionate about leveraging my skills and expertise in Project Management.
Overview
15
15
years of professional experience
Work History
Senior Manager
Saxo Bank
Copenhagen
08.2022 - Current
- Identified areas of improvement within existing operations through process analysis and benchmarking studies.
- Managed a team of 10+ employees by providing guidance, setting goals and objectives, delegating tasks, and monitoring performance.
- Participated in recruitment initiatives by interviewing potential candidates and selecting suitable hires.
- Directed cross-functional teams in developing innovative solutions to complex problems.
- Conducted regular meetings with stakeholders to review project status, discuss issues and risks, and obtain feedback on deliverables.
- Analyzed customer requirements, identified gaps and developed solutions to meet customer needs.
- Drafted comprehensive documentation such as process flows, user guides, training materials.
- Managed all phases of the project life cycle including initiation, planning, execution, monitoring and controlling and closure.
- Coordinated with cross-functional teams to develop strategies for the successful launch of operations projects.
- Maintained a close relationship with clients throughout the duration of each project.
- Assessed current operational processes in order to identify opportunities for improvement.
- Provided guidance and support to team members in order to ensure high quality results.
- Ensured compliance with company policies and procedures throughout the entire project lifecycle.
- Developed standard operating procedures which were used by all departments involved in operations projects.
- Implemented effective change management processes across various departments.
- Developed and implemented project plans to ensure successful completion of projects.
Lead Analyst - Cash Investigations
BNY Mellon
Pune
09.2021 - 07.2022
- Lead staff meetings to delegate tasks, assign workloads and communicate changing priorities
- Inspire teams to achieve or exceed goals through regular motivation, implementing loyalty incentives and facilitating team-building activities
- Directing and managing operations of 6 staff in Cash Investigations
- Integrated process improvements to optimize overall workflow and efficiency
- Plan employee workloads and delegate tasks strategically to meet BAU Deadlines
- Conduct annual appraisals, spearheading professional development initiatives
- Member of Process Re-engineering and Zero Wastage Pillars of the organization
- Conduct Training Session for Operations as a whole for Lean and Six Sigma
- One on One Discussions
- Leaves Management
Assistant Manager
Bank of America
Gurugram
11.2020 - 08.2021
- Handling Securities Settlements as Client Service Representative
- Part of client services team catering to client's settlements and reconciliation requirements
- Establishing and maintaining effective relationships with clients as well as gaining their trust in the company
- Interfacing with Settlements teams to solve problems and keep clients updated
- Anticipating client's needs and finding solutions within the indicated policies and procedures
- Taking care of appropriate follow-up (timely, accurately) of all client matters
- Ensuring proactive communication to all parties involved.
Senior Associate
Saxo Group India Pvt Ltd
Gurugram
05.2016 - 11.2020
- Primary Point of Contact for Stock Transfers
- Expertise in EFI, VP and VPS Custodies and Single point of contact for Settlements, Recon, CA and IT for EFI / VP/VPS related queries
- Coordinate with various internal and external stakeholders for onboarding of Saxo's new institutional clients
- It includes identifying project requirements, performing a feasibility study, analysis and executing test cases as a part of UAT
- Managing/updating all documents on process notes, brokers, custodians, etc
- Training to new joiners, to make them experience for BAU environment
- Handling Demat & DRS Requests
- Draft SOPs in line with clients' SLAs and get them approved with the product and project managers
- Do Analysis on the projects, migrations and work on process automation and improvements
- Manage issues within the team to make work-friendly environment within the team
- Active communication with Clients, brokers and custodians for timely confirmations and settlement of trades
- Projects and Migrations: EFI Migration for Finnish Clients
- Coordination with IT for UI creation for Automation of WAT IN / Out
- Custody migrations for Finnish Stocks
- T2S Migration
- Management Project on Stock transfer for Auto Notifications and Settlement Rate Enhancement
- Six Sigma Green Belt Certification on Project on Stock transfer.
Process Leader
Broadridge Financial Solutions
New Delhi
09.2015 - 05.2016
- Trade reconciliation
- Daily and weekly reporting
- Preparation of MIS
- Work allocation and shift rotation
- Escalation management
- One on One Discussions
- Leaves Management
Analyst
BNY Mellon
Pune
07.2010 - 03.2015
- Processing FX instruction being received from the client in various formats and sending SWIFT to the sub custodians
- Having worked with MT202, 103, 210, 321 & 304 both two parties and tri-party instructions
- Matching Cover or remittance (MT 910) with Preadvise in Intelli Match system
- Repairing SWIFT instructions received from the client in incorrect format
- Monitor and oversee daily fund cash levels through the Cash Availability System including verification of daily transmissions, proofing of current day cash levels; research and resolution of cash variances and identification and processing of money transfer transactions
- Process charges of SWIFT messages sent on behalf of the clients.
Client Service Associate
WNS Global Services
Pune
10.2009 - 07.2010
- Worked for Accounts Payable process of TELUS CANADA LTD
- Verify the Invoices of different clients and calculate taxes as per different client locations
- Make payment different clients through SAP application after proper review of the invoices
- Make daily follow-up with different clients to resolve payment-related issues
- Preparing and maintaining daily reports
- SME in the team and helping other team members & Training new employees to run the process with maximum Accuracy
Education
PMP -
Project Management Institute
03-2024
Six Sigma Green Belt -
IASSC
01.2020
Prince2 : Projects -
Axelos
01.2020
Basics of Project Management -
International Business Management Institute
01.2020
Change Management -
International Business Management Institute
01.2020
PGDBM : Finance -
University Of Pune - Pune
01.2009
Bachelor of Commerce : Accounting -
Guru Nanak Dev University - Amritsar
01.2007
Skills
- Project management expertise
- Innovation and Creativity
- Project planning
- People Management
- Performance monitoring
- Team Leadership
- Excellent Communication
Timeline
Senior Manager
Saxo Bank
08.2022 - Current
Lead Analyst - Cash Investigations
BNY Mellon
09.2021 - 07.2022
Assistant Manager
Bank of America
11.2020 - 08.2021
Senior Associate
Saxo Group India Pvt Ltd
05.2016 - 11.2020
Process Leader
Broadridge Financial Solutions
09.2015 - 05.2016
Analyst
BNY Mellon
07.2010 - 03.2015
Client Service Associate
WNS Global Services
10.2009 - 07.2010
PMP -
Project Management Institute
Six Sigma Green Belt -
IASSC
Prince2 : Projects -
Axelos
Basics of Project Management -
International Business Management Institute
Change Management -
International Business Management Institute
PGDBM : Finance -
University Of Pune - Pune
Bachelor of Commerce : Accounting -
Guru Nanak Dev University - Amritsar
Similar Profiles
Angie Johanna Silva CastellanosAngie Johanna Silva Castellanos
Institutional Onboarding & ODD Financial Crime Prevention at Saxo BankInstitutional Onboarding & ODD Financial Crime Prevention at Saxo Bank
Ankit GillAnkit Gill
Corporate Actions Analyst at Saxo bankCorporate Actions Analyst at Saxo bank
Abhishek GuptaAbhishek Gupta
Senior Analyst at Saxo BankSenior Analyst at Saxo Bank