1. • To work in innovative technological fields and to develop all round capabilities
that would help in becoming a successful team player and give my best to the
company.
• A competent professional with over 8 years of cross functional experience in
the areas of process management and operations management.
• Proficient in Leading a successful operations team & experience in creating all
process documentation – Trade Processing and Margin processing.
• Have transitioned a process from APAC, London & Chicago and spent
significant time onshore to ensure smooth transition.
• Effectively deployed migration models for settlement projects (i.e. Onshore to
Offshore migrations)
• Possess excellent interpersonal, communication and organizational skills with
proven abilities in training & development.
• Have operational knowledge on global equity settlements.
• Encompass specialist skill in assessing operational risks, Performance reporting
while providing recommendations that improve operational efficiency and
strengthening internal control and leading a team successfully.
• In depth understanding of Trade and Cash Margin Settlements for all global
currency
• Excellent verbal, Interpersonal and written communication skills and an
excellent Team Leader.
TLM, MTS, NEO link , Fund Master, GMI, Bloomberg, SunGard , WTS ( Web
Trade Services ), Global Cash Movement (GCM), GTT(Global time tracker), Web
Cash Movement(WCM), ELM, ERM and EDM.
NTAC:3NS-20
NAVEEN KUMAR S
Contact: +91.9886223772
E-mail:naveen.s840@gmail.com
OBJECTIVE
PROFESSIONAL SYNOPSIS
Skills & Strength
Application Familiar with

2. WORKING WITH NORTHERN TRUST (10 Mar 2008 – Till date).
DEPARTMENT: Derivatives
Investment Outsourcing Operations (IOO) – Team Leader (01 May 2012 – Till date)
Roles and Responsibilities
 Trade capture related to Derivatives products like Futures, Options (Index
Options, Equity Option, Stock Options, B clear Options, Flex Options, etc).
 Processing Manual payments to clients, FAX/SWIFT instructions by adhering
SLAs of all global currencies to ensure timely settlements and reporting.
 A complete understanding of the Derivatives Operations across various regions
of Globe from North America, Asia Pacifica and EMEA regions which included
Product Management, Reporting and Management Information, Client and
Investment Management and Process controls
 To ensure trades are pre-matched before settlement date and good for
settlement on value date by liaising with Traders, Middle Office, Clients, and
Agents
 Facilitate cash movements and investment activities for the Global Clients and
also resolve cash breaks in TLM.
 Compiled and analyzed financial information in the underlying financial
statements as appendices, including business transactions and activities.
 Posted client’s investment transactions and portfolio activity to the general
ledger.
 Undertaking process mapping, exception reviews and root cause analysis
arising from sub-system cash and security reconciliations
 Critical analysis of core settlement and reconciliation systems to ensure
completeness and accuracy, targeting identification of gaps in logic/control
weaknesses and inefficiencies within Securities Operations
 Trade Capture, responsible for various asset set ups for all the failed trades and
all other related issues.
 Working with Operations, Trade Support and IT to successfully implement key
remedial processes
 Responsible for on boarding of new clients, Broker transfers, Transition in and
Transition out adhering to company standards.
 Supervised the preparation of asset level management reporting and providing
supporting files for reporting by making total equity and cash balance in line
for particular accounts.
 Detailed analysis of trade discrepancies within reconciliations and
communicate breaks to relevant Middle office teams according to the required
SLA’s
 Manage available resources to ensure most efficient team output , ensuring no
controls are compromised
NTAC:3NS-20
PROFESSIONAL EXPERIENCE

3.  Responsible to investigate the discrepancy between the front office & middle
office system, which ensures accurate trade booking. In turn helps in accurate
& timely settlement of Trades
 Investigating and Finding out the reasons for the root cause of Unsettled
Trades/Cash and suggest Supervisor/ Manager for implementing controls.
 Distribution of trades and Preparation of production and MIS reports for the
team.
 Ensure team follows Detailed Business Operating Procedures (DBOP)
 Ensure that stock and cash reconciliations are completed daily with verification
of accuracy
 Assisting with system application improvements and testing
 Ensured all the trade exceptions are resolved by liaising with the client,
executing and clearing team.
 Providing regular knowledge share sessions, facilitate meetings & conducting
training to new partners.
 Ensure that stock and cash reconciliations are completed daily with verification
of accuracy.
 Actively participate in Knowledge Sessions, Audits, and BCP exercises.
 Extracting Information from the sources like Bloomberg to the retrieve correct
trade economics and understanding the nature of trade.
 Handling assets set up requests sent by various fund accounting teams
adhering SLAs as its very critical for the calculation of Net Asset Value reported
to the client on daily basis.
 Handling quires raised by Clients and internal and external auditors and Co-
ordinate with internal and global partners to ensure timely, accurate and
complete resolution to the Client’s queries & process related discrepancies.
 Responsible for auditing day to day reconciliation activities and Successful
documentation and process setup
 Ensure any areas of concern are identified and escalated to senior
management and the business as necessary while attempting to implement
both short term and long term resolution if problem is reoccurring
 Detailed analysis of trade discrepancies within reconciliations and
communicate breaks to relevant Middle office teams according to the required
SLA’s
 Establish self as expert in relevant field – handle escalations as learning
opportunities, preventing recurrence effectively.
IOO Services
 Working with Exchange Traded Derivatives IOO Trade Processing Task &
Workflow Analysis; evaluation of information gathered from multiple sources,
reconciling conflicts & decomposing high-level information into structured
details.
 Working in liaison & collaboration with counterparties to identify the client
requirements & provide business intelligence & analytical support. Further
NTAC:3NS-20

4. coordinate with various segments of a business setup to ensure smooth
business operations.
 Certified as a trainer from the company.
 Handle important escalations independently, and immediately report items
that further need urgent attention.
 Sole responsible for new way of reporting called SORP (Statement of
recommended practices).
 Running of a work query specially designed on the custodian tool [Fund
master-Citrix Mainframe (IBM) AS400] to pick up products related to ETD from
the application in the CSV format and the same was compared with that of
Investment manager report in the spreadsheet, PDF formats and suitably
organized on a reconciliation template to find out the true exceptions, working
through Macros and getting them resolved in timely manner.
 Actively involved in ETD Re-Engineering process, held the first point of contact
with the Business Process analyst team.
 Clearing broker migration from one Firm of the application to another by
coordinating with the technical and CMG teams in various phases by not
affecting the BAU which happened on weekends.
 Creating various reports which are used by our Management teams to
understand the daily, weekly and monthly progress and status of ETD
processing.
 The same was communicated to London and Chicago partners on a common
shared drive for further investigation and clearing of exceptions.
EXAMINATION INSTITUTION UNIVERSITY YEAR OF PASSING
MBA
Govt R.C.College of
Commerce &
Management,
Bangalore.
Bangalore University 2007
Bachelor Degree
St.Joseph’s College,
Bangalore.
Bangalore University 2005
12th
(P.U.C)
St.Joseph’s College,
Bangalore.
Karnataka P.U
Board
2002
Place: Bangalore
Date: NAVEENKUMAR S
NTAC:3NS-20
ACADEMIC QUALIFICATIONS

5. NTAC:3NS-20

6. NTAC:3NS-20