Ashok Sridharan has an MBA from the Simon Business School at the University of Rochester and a Bachelor's degree in Finance and Marketing from the University of Mumbai. He has over 10 years of experience in finance and risk management roles at Nomura Securities in New York and Mumbai. His experience includes implementing risk controls, reviewing processes, and resolving trade discrepancies. Prior to his current role at Nomura, he held several analyst and management positions in India focused on areas such as equity derivatives, fixed income, securities lending, and prime brokerage.

1. Ashok Sridharan
41 42nd
Street, Apt 1N, Sunnyside  NY 11104  (585) 413-6077  Ashok.Sridharan@Simon.Rochester.edu
EDUCATION
SIMON BUSINESS SCHOOL, University of Rochester – Rochester, NY
Master of Business Administration 2015
Concentration: Finance
Merit Scholarship Recipient
University of Mumbai – Mumbai, India
Bachelors of Management Studies, Finance & Marketing 2006
EXPERIENCE
Nomura Securities International – New York, NY (Apr 2015 – present)
Intern – Risk & Controls, Operations
 Implemented phase II of End User Computation (EUC) which requires reviewing and documenting
automated processes within the division and getting them certified by IT.
 Reviewing and updating RCSAs with managers across the division.
 Performed segregation of duties analysis, defined toxic access level combinations across front, middle
and back office and liaised with IT to revoke user access in line with firms risk and compliance policy.
Nomura Securities India Ltd. – Mumbai, India
Senior Analyst – Equity Derivatives: Listed Options (2010 – 2013)
Clearing Member Trade Agreement (CMTA) – Commissions Billing
 Led the migration of the CMTA Receivables function from US to Mumbai; resulted in significant cost
savings of over $40,000 per year to the division.
 Identified areas of improvement in the billing process and initiated Risk Management & Control
measures with the Product Control team resulting in an annual savings of $50,000 to the firm.
 Daily interaction with Equity Derivatives Product Control group to resolve trade discrepancies.
 Liaised with Sales & Trading desk to identify ‘Top 10 clients’ and prepared MIS to track o/s receivables.
Fixed Income: Mortgage Backed Securities (MBS)
 Migrated daily reconciliation of MBS trades & responsible for SPO charges on DTCC platform.
 Mentored 3 graduate MBA’s and managed a team of 4 analysts.
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Analyst – Equity Finance: Securities Lending (2008 – 2010)
Stock Loan Billing (Borrowing and Lending)
 Instrumental in smooth transition of the billing process from US to Mumbai resulting in cost savings of
over $30,000 per year to the business division.
 Streamlined the Billing activity: No Outstandings (Pay/Rec) >30 days.
 Initiated metrics for Sr. Mgmt. in India to monitor weekly collection progress.
Lehman Brothers – Mumbai, India 2007 – 2008
Analyst – Prime Brokerage – Listed Derivatives
Clearing & Executing Listed derivative trades in Global Markets.
 Managed Top Brokerage Accounts such as Goldman Sachs, Morgan Stanley, NewEdge, Citigroup and
JP Morgan and cleared all back-log in the Brokerage Payable > 60 days outstanding.
 Recipient of ‘Quarterly Award’ in the first three months of joining the firm.
State Street Syntel Services – Mumbai, India 2006 – 2007
Associate – Fund Accounting
Reconciliation of Pension Fund Accounts for State Street Zurich, Switzerland
 Identifying daily Cash and Stock discrepancies and initiating actions to resolve it.
 Represented the team in Management meetings and conference calls with stakeholders in Zurich.
INTERESTS
 Sports: Soccer, Tennis, Cricket, F1 ; Recreation: Indian Classical Music, Standup Comedy
 Languages: Hindi, Tamil, Marathi