Senior Manager
Morgan stanley
Total years of experience :14 years, 5 Months
•Client Facing activities - To be in touch with the Fund Managers to understand the activities to be expected, volume of trades, cash funding
to be received and accordingly do the prep work needed to handle the workload
• Conducting meeting with the team to discuss and delegate the activities
Supervision of the trades and funding received and making sure it is
available to be moved to the Prime Brokers within the time frame
•
Handling escalations with the Fund Managers and internal Global Teams if
the funds are not ready to be moved within the agreed timeline
•
Reviewing of investor trades such as subscription, redemptions, switches
and transfers
• Preparing investor reports and MIS for US Team
• Releasing of regulatory reports, statements, contract notes, K-1, PFIC, AFS
•Maintaining investor base in the system during subscriptions and data
change
• Paying out distribution proceeds
• Maintaining commitments and capital call balances
• Initiating capital calls, tracking and money movement
• Preparing investor reports and MIS for US Team
• Releasing of regulatory reports, statements, contract notes, K-1, PFIC, AFS
Maintaining investor base in the system during subscriptions and data
change
• Paying out distribution proceeds
• Maintaining commitments and capital call balances
• Initiating capital calls, tracking and money movement
•Reviewing, checking and processing of investor trades such as
subscription, redemptions, switches and transfers
•Reconciliation of cash received from the investors and clients and to
match the same with the statements to validate the source of funds
• Allocation of deals and other activities among the team
•Approving and initiating money movements for subscription and
redemption
•Handling of complex money movement and distribution activities
• Attending risk calls with Senior Management from India and US
Participate in global projects including system enhancements and data
conversions
•
KYC and AML checks of the investor documents and to investigate and
assess alerts for potential money laundering risks in the Bank
•
Coordinating via calls and emails with the Fund managers and investors
for AML documents
•
Conducting Enhanced due diligence on investors based in high risk
jurisdiction (HRJ) and politically exposed persons (PEP)
•
Setting up weekly multi-region calls to update teams on AML issues and
process updates
• To update MLRO and AML Compliance-officer of any suspicious activity
• Resolving investor as well as client queries
Maintaining high level of confidentiality with investor / client data and
communication ensuring each client’s need is met on priority without
compromising on accuracy
•
Coordinating with the FATCA Team to ensure investor’s FATCA status is
clear
•Reviewing and releasing the investor statements, trade contract notes, K-1
reports, PFIC, Fund newsletters, Fund documents and other reports
• Maintaining Investor distribution list
• Proving onshore as well as offshore transfer agency services
Training of new joinees with procedures, exceptions and policies of the
department
• Handling leave reconciliation activity of TCS employees in Morgan Stanley
Conducting year end appraisal activity and feedback sessions quarterly
with TCS employees in Morgan Stanley
•
Arranging calls between TCS Senior Management and TCS employees in
Morgan Stanley, whenever required
•Processing and checking of investor trades such as subscription,
redemptions, switches and transfers.
• KYC and AML checks of the investor documents
• Resolving investor as well as client query
• Completing investor and Fund audits
• Reviewing and releasing the investor statements and trade contract notes
• US and UK FATCA reporting
• Part of Transition / Conversion team
• Providing the clients with monthly share registry and regulatory reports
• Proving onshore as well as offshore transfer agency services
• Resolving Investor Queries
• Handling Branch Level Queries
• KYC checks on investor documents
• Providing various statements and reports to the investors
• Processing Transactions
• Coordinating with AMCs for the feeds.
Review the work of subordinates regarding Analysis of task assigned and
MIS as per internal and regulatory compliance requirement.
•Co-ordinating with Wealth Management Operations team and Cash
•Processing team for smooth processing of the transaction of High Net Worth Individual.
• Coordinating with the AMC’s for scheme related information
•Create schemes in the Mutual Fund •Distribution system by collecting scheme details or NFO details from respective AMC and making it available for Net banking for online investors.
•Preparation of Bill of Lading
• Mentoring newcomers
• Coding of Bills of Lading
• Reassessing Bills of Lading.