1. Shamsul Khan
address: 74 Nelson Road, London E4 9AR
telephone: 07946 887 054
email: shamsulkhan50@hotmail.com
Professional profile
A resourceful, hard-working and highly motivated financial services professional with a proven record of success in
operational management. Possessing a wealth of transferrable skills, including outstanding interpersonal and staff
management abilities. A capable organiser, quick to grasp – and make good use of – new ideas and information. A
proven ability to develop and implement effective new systems and procedures. Able to work well both
independently and as part of a productive team, demonstrating the motivation and multi-tasking abilities required
to meet demanding deadlines while maintaining the highest of standards. Articulate and proactive, combines a
professional and confident approach with excellent interpersonal skills and can communicate concisely at all
levels. A high performing, motivational leader proven in developing successful teams that achieve business and
personal objectives and who thrives working in a highly pressurised environment.
Key strengths
 People Management  Brokerage Operational Management
 Settlements and Reconciliations  Client Relationship Management
 Portfolio Management  Project Management
 Business Analysis  Training and Coaching
 Excellent Communication Skills  Excellent Interpersonal Skills
Career summary
2003 - 2015 Operations Manager
First Equity Limited, London
• Servicing the needs of the firm’s traders and their client base including High Net Worth Individuals, Banks,
Hedge Funds and Asset Managers providing daily trader reports within appropriate time to examine client
positions before market open, and providing client service to a level which maintains/enhances firm
reputation.
• Expertly monitoring and handling global settlements, managing the relationship between firm and
settlement agents, in order for settlement to occur in timely fashion, managing the complete settlement
cycle from trade booking to settlement, resolving settlement queries in order to maximise commission
revenue and avoid penalty fines and fees being debited to the firm by the broker.
• Diligently completing daily reconciliation of client cash and stock positions investigating and resolving
discrepancies with settlement agent in order to provide front office with correct client portfolio valuation to
maintain client and trader relationship
• Creating, maintaining and establishing relationships with clients, settlement agents, global custodians,
middle office counterparts and market counterparties in order to ensure smooth settlement and provide
outstanding client service
• Managing all the operational aspects of equity stock market launches, balancing placing allocation and
assessing availability of cash funds to proceed, ensuring completed documents are received by
counterparty within set deadlines, confirming trade is booked or payment made and certifying receipt of
stock in order for settlement agent to apply stock to client with book cost for valuation purposes
• Transaction reporting Institutional trades according to settlement agent agreement and model within FCA
requirement. Sample checking retail settlements, according to FCA requirement, manually reconciling
sample to bespoke system, identifying issues and escalating to settlement agent for investigation
• Proactive in managing institutional settlement commission, creating and implementing a spreadsheet to
act as a control, comparing trade revenues and settlement agent charge to agent daily reports,
highlighting any issues to agent and keeping a rolling reconciliation of difference in balance, to ensure
smooth month end commission agreement, and receipt of funds into company account within Service
Level Agreement and in order to avoid cashflow problems occurring to firm
• Instrumental in recognising the need to hire additional resource in order to act as a control function,
training and developing resource to company standard, in order to be deployed for project/business
analysis duties as and when required
• Recognising the need to act as team, executing duties including client operational support, foreign
exchange transactions, reporting positions to traders, compiling monthly commission reports, analysing
and authorising payments, in order to ensure the smooth running of the firm
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2. • A member of the Management and Compliance Committee instrumental in making company decisions
and reporting any issues to company COO and CEO. Additionally trusted as an authorised company
signatory
• Deploying skills and resources in business analysis to interpret trade history; setting and agreeing
settlement agent charges in order for agent and broker to benefit from relationship
Key achievements:
• Successfully project managing the migration of client base between settlement agents from a Model A to
a Model B based settlement
• Supporting the introduction of new bespoke software; reducing the reconciliation role from hours to
minutes allowing other key duties to be performed
1999 - 2003 Brokerage Operations Executive
Charles Schwab Europe, Birmingham
• Performing Traded Options Settlement, producing daily reconciliation report, agreeing cash balance with
clearing agent, instructing amendments, journals and appropriate finance instruction within company
deadline for all aspects of settlement to occur in timely fashion and to company requirement in line with
FSA regulations, documenting procedure for control purposes
• Transferred to Market Settlement division, covering CREST and Euroclear market settlements, liaising
and negotiating with market counterparties to resolve unmatched trades, providing KPI reports on weekly
basis of team performance. Number 1 CREST ranking status maintained, documenting all processes
within department.
• Meticulously reconciling internal company ledgers to Trial Balance as part of Reconciliations Team
Key achievements:
• Specifically chosen to overhaul procedural documentation for other business areas, producing process
flow maps, identifying risks and controls and uploading on company database.
• Reported a potential loss and debit balance of £1.623m in Traded Options ledger, comprising 750 items.
Chosen, as part of a team, to investigate and reconcile ledger, providing reports to senior management of
progress made, and reducing liability to £600, identifying risks and implementing controls and new
methods reducing the role time from 1 full day to half of a working day, role manpower from 2 to 1 persons
and saving the company £20000.
• Chosen for a secondment to Barclays, Isle of Man, to help the Reconciliation team on a 6 month project
during the takeover of Charles Schwab Europe by Barclays stockbrokers
• Sole responsibility for the implementation of CCP Margin, via installation of PC ERA, acting as a control to
ensure the level of float maintained by agent for SETS positions was correct, documenting procedure for
regulation purposes, training another member of staff to the role for backup purposes, and creating and
implementing spreadsheet used by the Finance department for month end purposes
Education and qualifications
MCSI: Member of the Chartered Institute of Securities and Investments
IAQ: Investment Administration Qualification
BA: Economics with Bengali 2:2
London University - School of Oriental and African Studies
3 A Levels: Economics, Mathematics and Latin
GCSEs: Including English and Mathematics
Key skills
I.T.: Excel, Word, PowerPoint, OMGEO, AS400, Unavista platform – transaction reporting
Personal details
Other: Driver; full clean licence
Interests and activities
Coventry City Football Club
References are available on request
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