R GANESH

(: Cell – 9892702505

Email:

To strive with determination for knowledge and total transparency in my chosen field and respond to the changing needs of work, create a work place that fosters excellence.

SYNOPSIS

À  MBA in Finance with experience in the Capital Markets involving Operations in Depository / Custodial / Broking Services

À  A team player par excellence, possessing good communication (internal as well as external) and interpersonal skills with the ability to work under pressures and deadlines.

ORGANIZATIONAL DETAILS

Quant Transaction Services Pvt Ltd – July 2011 – till date Asst.Vice President

Responsibilities:

·  Involved in setting up of depository participant with NSDL & CDSL for Commencement of Custodial Services

which is a new line of business for the Firm. This includes the entire DP Activity including KYC/Regulatory/

Compliance Requirements

·  Preparation of Process Flow Document for both CDSL & NSDL Activities

·  Preparation of Test Cases/ Use Cases for each activity defined in the Process Flow

·  Preparation of Production & Daily Activity Checklists for the entire Process

·  Involved in UAT for NSDL & CDSL Back Office Systems

·  Liasoning with NSDL, CDSL & SEBI for clarifications & queries

·  Imparting training to Colleagues & Subordinates on the process of DP Operations

·  Coordination for Comprehensive data gathering for SEBI / RBI Regulatory Reports that are mandatory required to be

submitted a Custodian

·  Tested the availability of SEBI reports in the Custody Back Office System & interacted with the vendor for rectification/modifications/additions wherever required

Bank of America Merrill Lynch Ltd – December 2007- June 2011 Manager

Responsibilities:

·  Handling Overall NSDL Depository Operations in a Supervisory position

·  Supervising Daily Settlement Activities & adhering to NSDL & Internal Deadlines

·  Ensuring timely execution of All types of Pay In/ Pay Out/ Off Market/ Pledge Instructions

·  Scrutinising all Account Opening Documents received & Activation of the same on NSDL DPM System

·  Liaisoning with Internal Legal / Compliance department regarding KYC, FIU & other queries received from regulatory

Authorities (SEBI & NSDL) & replying to the same

·  Ensuring timely account closures , Transmission of shares & Demographic changes for requests received

·  Co-ordinating with Information & Technology Department for system enhancements

·  Providing various MIS on Daily / Monthly Volumes to the Senior Management

·  Co-ordinating with Internal & NSDL Audit teams to ensure a smooth audit

Significant Achievements

- Incorporation of Speed-e facility provided by NSDL for DSPML Depository Services, thereby reducing Operational time by

4 hours a day

- Involved in UAT testing & Implementation of new NSDL DPM Module introduced by NSDL in the year 2010-11. This also

included co-ordination with vendor of the Back Office software to have the changes incorporated in the BO Software

IL&FS Ltd - June 1999 – November 2007 Assistant Manager

Ü Worked with the IL&FS Group for 8.5 years in various departments & handled different responsibilities. The break up of which is summarized herewith

A) Department - IL&FS Depository Services – BKC March-2006 – Nov 2007

·  This DP Set up had been dedicated to IL&FS Investsmart. Managed DP Operations for this Set up which involved overall

DP Activities with a team of 12 Members. Profile Involved following

Responsibilities:

·  Overlooking Account Opening of all DP Accounts

·  Ensuring timely execution of Pay-In / Pay – Out Instructions received

·  Co-ordinating with Compliance Officer for resolving queries on Account Opening

Significant achievement In addition to the existing profile, parallel handling of Cash Management Services for a

reputed Foreign Bank , to which IL&FS was to be an All India Service Provider. This was a new business area for the

Organization & was instrumental in successful completion of the Pilot Project at Kolhapur

B) Department - IL&FS Depository Services – Chandivili - Jan 2004 – Feb 2006

Responsibilities:

·  Heading the settlement Department with a team of 28 Personnel

·  Supervising Daily BSE & NSE Settlement activities on both the Depositories(NSDL&CDSL)

·  Co-ordination with All India Branches of IL&FS DP for Daily Operations

·  Managing the team – Ensuring timely adherence of NSDL & CDSL Depositories Deadlines

·  Interacting with Clearing Members & Individual Clients with respect to their Instructions done thru the Internet (Speed-E & Easi)

·  Monitoring timely Processing of Pay In(s) & Pay Out(s) Instructions received from CM(s) & Individuals on the

Depositories

·  Co-ordination with CM(s) with relation to system enhancements to smoothen the Operations by automating processes

·  Overlooking Pledge / Securities Lending & Borrowing activities with respect to DP

·  Overlooking Daily Reporting to CM(s) / Individuals / Branches with respect to the Overdue / Fail Trade status

·  Monitoring team at Mumbai spread across various locations & attending to the respective problems / queries with

respect to the daily operations

·  Ensuring Overall Operational compliance

C) Department - IL&FS Broking Back Office – Nariman Point - June 1999 – Dec 2003

Ü IL&FS were the service providers for FII Broker Credit Suisse First Boston(CSFB)

Responsibilities:

·  Handling Settlement activities involving liaisoning with the Principal / Local Custodians, Depositories and the

Stock Exchanges

·  Reconciliation of the exchange obligation and timely Pay In / Pay Out related functions

·  Responsible for the Corporate Actions due to CSFB & follow up with Companies / Custodians to recover the same

·  Generating Funding Estimation Reports to be sent to CSFB(Singapore)on a Daily basis

·  Follow up with Custodians / Brokers to check for Client Instructions for Settlement Purposes

HDFC Bank Ltd - June 1998 – May 1999 Officer

Ü Worked at the Custodial Services Department of HDFC Bank

Responsibilities:

·  Responsible for Corporate Action (CA) Announcements in the System

·  Tracking of CA benefits due to the Clients & reconcile the same

·  Automated the CA Process in Co-ordination with Systems team & Vendors

·  Set up Process & Systems of maintaining database of Debt Instruments & Calculating the benefits due to

the clients periodically

·  Worked for Depository Services of the Bank for Marketing of new accounts for all types of Investors

Citicorp Information & Technologies Ltd – (CITIL) - Feb 1995 – June 1998 Process Officer

Ü Was place at Citibank Custodial Services – Worli thru CITIL

Responsibilities:

·  Clearing & Credit to Client Account of Dividend / Interest warrants received from Companies

·  Monitoring Suspense & Sundry Accounts & giving proofs of the accounts for RBI reporting

·  Bill Processing & maintaining Account receivables with ageing analysis

·  Reconciliation of Dividend / Rights / Bonus & following up with Registrar / Companies/ Brokers

·  Handling Cash Management Activities on a daily basis & reporting the same to the clients

Significant Achievement

Awarded Star of the Month for the Months of March’96 & April’98 & Star of the Quarter for the Period January’97 to March’97

which were performance based awards for Outstanding Performances

ACADEMIC CREDENTIALS

À  Bachelors in Arts from Mumbai University.

À  Proficiency in Computers : Proficiency in Windows NT & MS Office package like Word, Excel & Powerpoint

PROFESSIONAL CREDENTIALS

À  MBA in Finance(MFM) from MET Bandra affiliated to Mumbai University

À  Cleared NSDL’s Certification In Depository Operations (NCDO) Programme in March 2010

À  Cleared NCFM Exam on Capital Markets (Dealers) Module in August 2010

À  Cleared NCFM Exam on Derivatives Beginners Module in November 2010

À  Cleared Operational Risk Certification Course held by National Institute of Securities Market mandated by SEBI

PERSONAL DETAILS

Full Name : Ganesh Rajesh

Date of Birth : 09th May 1972

Languages known : English, Hindi, Marathi, Tamil

Address : 44/F Ganesh Baug, Dr Ambedkar Road, Matunga, Mumbai 400019

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