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RESUME
JOSE GEORGE
Bangalore
MOBILE NO:. +91-9740933271
EMAIL-ID. [email protected]
Objective:
As a professional with 8 years of experience in investment banking & Financial services
Operations.My aim is to seek a suitable position, with a well known organization which
will enable me to apply my knowledge and creative skills in my work. I firmly believe in
constantly learning and applying the knowledge gained in contributing positively in my
capacity for the growth of the organization, and to grow along with the organization.
Profile And Strenghts

Committed and diligent individual with a strong academic background; M.B.A
(Finance), with Investment Banking Domain . Key competencies in structuring and
implementing innovative policies/ procedures to generate undivided commitment &
dedication among the team members

In-depth know how Investment banking operations works. Risk involved in
various process & their control measures through useage of different tools &
applications.
 Knowledge of different settlement system .
Good working knowledge Reconciliations of different settlement system which consist of
equities, bonds, Fixed income, Regulatory Reporting and Risk Analysis and Controls.

Had good knowledge various product equities, fixed income custody
business, treasury ,bonds,Derivatives .
Work Experience-1
Company-TATA CONSULTANCY SERVICES.
Designation-Business Process Lead(Team Lead)
Duration- From Oct2008 To Oct 2014
Location-Bangalore
Role & Responsibilities.
Individual Role.
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Work in Nostro,Vostro& depo reconcilations for back end operations for
Detusche Bank US entity.
Performing post settlement reconciliations for Detusche Bank Equities &
Bonds settlements .

Knowledge of applications used for US settlement system DTC
(Depository Trust Corporation),Smartstream.
 Providing Various MIS reports related to Regulatory Reporting with
regard to 15C 3 calculation .
 Handling regulatory queries with Detusche Bank Onshore Regulatory
team.
 Identifying & investigating exceptions through using of reconciliation
toll Smart Stream Technology in terms of Equities Fixed Income security
trades, Corporate actions, Interests, Pay downs (in case of Mortgage
Backed Securities), swap, options, FX and resolving the breaks by
liaising with internal teams & product lines. Knowing various phase of
post settlement reconcilations activities & performing those activities
 Matches settlements trades .
 Investigating of all exceptions.
 Allocation of Exception.
 Providing resolution to clear the exceptions.
 MIS reporting of execptions
 Doing quality check and over look of nostros ,vostro &
depo reconciliation and investigations.
 Query handling and responding.
 Process issue solving.
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Have good knowledge of US domestic settlement system Deposit Trust
Corporation (DTCC) .
Interacting with various product lines for resolving outstanding
settlement issues with respective department viz Domestic settlement,
International settlement, Corporate Actions, Transfer Agency,
Dividends,Wire,International & domestic stock loans & borrows teams
etc.
Successfully Part of various transition engagement from client locations
to TCS.
Have knowledge of different interal applications used for reconcilations,
trade booking , settlements like Espear, ADP, On demand,ICI,Gloss etc.
Team Lead Role
.
 Part of team of around 40 members . Performing as team lead role & have 25
members under span of control.
 Performing supervisory activities for domestic & international settlement
accounts. Over viewing day to day activities involving in the process like
analyzing volume for each a/c’s for domestic & international settlements .Followup for the aging items which not cleared by product lines, doing four eye check
for MIS reports distributed to business lines.
 Interacting with on shore interface team through daily & weekly call on the
performance of the process.
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Assisting immediate team manger & other levels of senior management in day to
day activities where team lead involvements are required.
Assisting Risk & Control team from Detusche Bank in various external audit
requirements from KPMG & PWC.
As lead in PWC audit at client location.
.Was responsible for process documentation and regular updating of the same
Was responsible for developing and auctioning training plans for new joiners.
Involve in performance appraisal and evaluation for reporting team members.
Work Experience - 2
CompanyKarvy Stock Broking Limited
Designation- Officer
DurationFrom January 2006 to January 2008
PlaceBhopal
COMPANY PROFILE :
Karvy is one of leading financial services company based at
Hyderabad, India. It provide various financial services like Equities, Commodities,
Investment Banking ,Depositary Participants, Advisory Services, Private Client Group,
Portfolio Management Services, Distribution of Financial Products viz.Mutual Funds,
Life Insurance, General Insurance, IPO’s, Bonds etc. Karvy is also one of leading
Registrar & Transfer Agent for Corporate & Asset Management Companies.
J OB PROFILE
→Client Relationship Services.
→Providing Portfolio Management Services to the new&existing clients
through various financial products like equities,IPO,Mutual Funds etc.
→Back Office Operations.
→Revenue generation from Sub-Brokers , Business Associates through
.
various Financial services Product viz: Equities, Mutual funds, IPO’s .
→Handling the team of Marketing Executives.
→ Handling HNI Clients through various investment advisory services.
Providing various reports regarding their investment viz-Research reports,
current investment valuation reports, Ledger statements, Electronic
Contract notes. Maintaining their ledger balance confirmations &
realization of debit amount on priority basis.
→Taking appropriate action on the various grievances of the clients
regarding their Transaction statements viz; Ledger, Contract notes etc
and reconcile them on priority basis
→ Scrutinizing and verifying the documents submitting for opening
Trading and demat account
→Co-ordinating with Head office for generating new trading codes.
→ Co-ordinating with the branches under the Bhopal Regional Office for
obtaining reports regarding opening new trading accounts on monthly
basis and providing the same to Regional Manager & CEO.
→Dealing with banks for the new public issue(IPO’s) for which Karvy is
appointed as Registrar. Monitoring and Co-coordinating timely collection
of application forms of concern IPO’s from banks and dispatching of
same to Head office. Providing MIS reports to Deputy General Manager
(Registrar to Issue)regarding collection and dispatching of application
forms of concern public issue.
Rewards and Reorganization:

“STAR PERFORMER Dec 2012” at TCS Corporate
Office level.

“Outstanding Performer 2013” in current working
Organization at Project level.

“Outstanding Performer 2011” in current working
Organization at Project level.

Selected for Hi Pot (High Potential Employee) in the
year 2013
Academic Record
Professional Qualification
- Master of Business Administration(M.B.A) with specialization in
Finance from Maharshi Institute of Management ,affiliated to
Barkatullah University ,Bhopal(M.P.) in the year 2004-2006
Academic Qualification
- Bachelor of Commerce(B.Com) from Barkatullah University,
Bhopal (M.P.) in the year 2001
Computer Skills
Basic Knowledge of computer and proficient in MS Excel,MS Word,etc
Expected Salary- Negotiable
Current Notice Period-One Month
DeclarationI hereby declare the above mentioned details are true to the best of my knowledge and
belief.
JOSE GEORGE