Maulik Shah has over 15 years of experience in operations, client service, and trade settlement roles in the financial services industry. He is currently a Broker Dealer Manager at The Bank of New York Mellon, where he resolves client inquiries, manages client expectations, tracks issues, and builds client relationships. Previously, he held roles at Barclays Capital and ABNAMRO Central Enterprise Services, where he performed tasks like trade matching, settlement, and fails management. He has received several awards for his client service and people management skills.

1. MAULIK. S. SHAH #13-266 201 D,
Pungool Field,
Punggol
Singapore – 824201
Mob: +65 8189 3275
FIN:G6007378W
Email:maulik_09@rediffmail.com
Snapshot of Skills:
• Depth of expertise with operational service delivery, Client Service and Trade Settlement
• Can perform well under pressure & keep people motivated
• People Management Skills
• Experienced in transition and knowledge transfer of processes from UK to India
Work Experience:
The Bank of NewYork Mellon - (Nov 2010 – Till Date)
Broker Dealer Manager
Role & Responsibilities:
• Same day inquiry resolution and communication back to the client.
• Management of the clients' expectations when same day is not possible.
• Proactive follow up with internal BNY Mellon departments or the client as required to effect a
resolution.
• Inquiry tracking and monitoring to identify any client or BNY potential issue that could cause
an operational risk.
• Efficient self-organization to ensure the right priority is given to the correct task at all times.
• Build a relationship with your clients whilst ensuring that any back up service provided by
other administrators is transparent to the client.
• Diligent handover communications to other service centers.
• Protect client confidentiality at all times.
• Ensure market knowledge in all areas impacting clients is up to date and sufficient to
effectively service the clients' business activities.
• Recommend existing procedures when necessary in order to develop the Company's overall
service delivery to all clients.
• Booking daily margin calls with external clients
• Understand the client's business activities and accordingly giving the efficient service.
Additional Responsibility:
• Escalate issues outside of normal client’s activities to management.
• Attend client conference calls or visits whenever needed.
• Perform regular client visits and reviews with RM.
• Updating Business Procedures and manuals when necessary.
• Assist in handling important client’s enquiry.
• Suggest improvements whenever applicable.
• Participating in UAT testing
• Follow all internal BNY Mellon (audit/compliance) at all times.
• Escalation to team manager of any risk or client issues
• Key personnel to assist team member in resolving day-to-day issues.
• Ensuring that all operational risks are recognized and managed.
• Continually seeking opportunities for improvement and delivering innovative solutions.

2. Awards and Recognition:
• Awarded P3 Award (People Partnership & Performance Award) in 2011 for excellent client
services
• Selected for the Mentorship Program for 2012-2013
• Nominated for P3 Award (People Partnership & Performance Award) in 2012 for excellent client
services
Barclays Capital Services Pvt. Ltd - (Feb 2009 – Oct 2010)
Equity Prime Service
Role & Responsibilities:
• Running Daily 4 different MIS for Stock Loan and Equity Finance Desk
• Checking and Booking Stock Loan Trades on behalf of Stock Loan Desk
• Checking and clearing all different breaks in PIRUM and Equilend with different ccpty
• Liaising with counterparties and resolve discrepancy and escalate if necessary.
• Proactively contact counterparties to clear high value and old PIRUM and Equilend breaks
• Ensure that all jobs are carried out in accordance with established policies and procedures and
• Ensuring timely escalation of any important issues.
• Review and coordinate the risk control procedure set up process.
• Work closely with the Continuous Improvement team to implement the change projects for the
team.
• Review the work processes and provide cross training to staff In the team
• Updating Business Procedures and manuals when necessary.
• Assist in handling important client’s enquiry.
• Updating Daily Cash Pool Rates on different ccpty
• Manually booking returns for different ccpty
• Monitoring PIRUM and Equilend breaks till completion and follow up on problem PIRUM and
Equilend breaks.
• Coordinating & disseminating updated technical information on products to all team members
to upgrade their skills.
Barclays Capital Services Pvt. Ltd - (Sep 2007 – Jan 2009)
Interest Claims (Equity & Fixed Income)
Role & Responsibilities:
• Minimize monthly volumes, lower claims, and breaks.
• Liaising with counterparties and resolve discrepancy and escalate issues (Equity & Fixed
Income) if necessary.
• Perform call-backs to clients to verify or authenticate payment and settlement instructions
received from clients and counterparties.
• Perform filing and ensure that all records and documents are kept in an organized and proper
manner.
• Proactively contact counterparties to settle claim issues (Equity & Fixed Income).
• Ensure that all jobs are carried out in accordance with established policies and procedures and
observe internal controls requirements
• Perform daily reconciliation.

3. Additional Responsibility:
• Ensuring timely escalation of old claim issues.
• Review the work processes and provide cross training to staff In the team
• Updating Business Procedures and manuals when necessary.
• Assist in handling important client’s enquiry.
ABNAMRO Central Enterprise Services Pvt. Ltd - (July 2004 – Aug 2007 )
Sr Team Leader - Equity Settlement
Role & Responsibilities:
• Handling a team size of 12 members who handle UK and Asia Markets
• I successfully migrate the complex process of Equity Settlements for the UK Market (CREST)
within a span of 10 weeks.
• I documented the Business Procedures across 21 processes during migration.
• Trade matching, instruction, settlement and fails management.
• Minimizing the number of failed trades in CREST by constant follow-ups and borrowings from
the UK Market
• Maintaining the CREST ranking at No 4 amongst 36 other leading broking firms
• Regular exposure to high risk trades in the form of Stock Loans, DBV’s and Free of payment
trades
• Minimise risk exposure to the bank and improve the processing flow and efficiency of the unit
as demonstrated in managing monthly volumes, lower fails, and breaks in Intellimatch.
• Maintaining and Reconciling records of Margin payments made and received with the London
Clearing House (LCH)
• Match and confirm daily trades by phone, fax or electronic mail with prime brokers and client
counterparties
• To be aware of trades that are not matching and take appropriate action to endure a match
takes place in a timely manner
• Canvas Client feedback from our client’s colleagues in London.
• Reconcile Daily transactions reported by HK middle Office and confirm net settlement amount.
• Monitor outstanding settlement positions and ensure proper update of the trade
settlement status
• Monitoring trade till completion and follow up on problem trades
• Perform daily Nostro & Depot accounts reconciliation.
• Ensure that you and your team respond to all Client queries in a timely and efficient manner.
• Checking and releasing settlement instructions to counterparties
• Involved in the implementation of process improvement
• Provide back-up support to other back-office processing functions.
Additional Responsibility:
• Ensuring timely escalation of failing trades to front office traders.
• Creating back ups/Team Leaders.
• Review the work processes and provide cross training to staff In the team
• Monitoring all high value trades and ensuring all trades are actioned on a priority basis
• Update the scoreboard for all teams in Securities Operations
• Maintaining Cordial relationships with our traders, Middle office and our Agents
• Updating Business Procedures and manuals when necessary.

4. • Assist in handling client’s enquiry.
• Goals setting and reviews
• 1-1, evaluations
• Produce a summary of the status of all stock & cash breaks / fails for monthly Control meetings.
• Confirm and initial end of day check lists for assigned staff.
Achievements:
• Appreciation from Neil Woodger ( Head of Operations ) for successfully migrating the process
and setting an example for other migrations to follow
• Successful roll out of STP process for SLO and DBV. This initiative helped in saving 0.45 man
hours every day, thereby reducing manual intervention.
• ABN reached 1st
in Crest rating amongst 22 high volume broker on London Stock Exchange,
this was first time where we have achieved this position.
Brief: In ABNAMRO Central Enterprise Services Pvt. Ltd there is an award ceremony name as
ACES of the Month which is conducted every month, I had received that award for Month of April
2006.In UK market Crest sends a Statistics report on a weekly basis. This report gives details of
ABN's settlement efficiency and our ranking amongst the 35 high volume brokers on London Stock
Exchange. On an average for last 12 weeks, the team was not only able to maintain its position within
TOP 5, but also reached 3rd position twice within three months. This is a difficult task to accomplish
as (1) At least 99% of the trades need to settle on the intended settlement date, (2) ABN is competing
with very high rated brokers on London stock exchange and (3) As, Investors are allowed to trade
short on LSE, we have large no of short positions effecting underlying trade failures.
SUDIT K. PAREKH & Co, Mumbai - (from Oct 2002 to June 2004)
Jr. Executive (Operation)
Job Summary: Working on company’s behalf in SBI MUTUAL FUND
(SBI FUND MANAGEMENT PVT LTD)
• Responsibilities to check & verify the various Risk Exposures involved in Investments including
Equity & Debt instruments.
• Responsibilities include assignment & execution of Settlement of Govt. securities, NCDs,
Equities.
• Verification & Accounting of each Investment transactions in respect of individual schemes.
• Maintenance of records of secondary & primary market transactions involved in Debt &
Equities.
• Calculation of interest of different scripts in different scheme.
Educational Qualifications:
• Master of Business Administration (MBA-Finance) from Aurangabad University in July, 2002
(1st Class).
• Bachelor in Commerce (B Com.) from Mumbai University in April 1999 (IInd Class).
Awards and Recognition:
• Have been awarded a Service Star for achieving excellence in service delivery to customers
and for carrying out normal BAU during BCP
Course:
• Successfully completed the White Belt and Yellow Belt certification program in SIX SIGMA
• Undergone training on “ Fundamentals of Securities Operations “ by Mike Simmons and
“Introduction to Investment Banking “ by Mark Anderson

5. Personal Information:
Date of Birth : 12th March, 1979.
Status : Married

6. Personal Information:
Date of Birth : 12th March, 1979.
Status : Married