1. SWAPNIL S VAZE
Contact: 09930722140 & 09930259274
E-Mail: swapnil24_vaze@rediffmail.com & swapnil.vaze0@gmail.com
Mid-Management Professional, Finance Controller - Currency Global Markets
Trade, Cash & Forex Processing ~ Reconciliation & Settlements ~ Client Management
A result-oriented professional with experience in capital market operations including trade, cash & FX
processing, trade settlements & reconciliation, client management and operations management
Profile Summary
~ Trade Discrepancies & Analysis ~ Reference Data Set-up ~ Position Breaks Investigations
~ NAV & P & L Calculation ~ UAT & Go-Live Project ~ Internal & External Audit Support
~ Fund & Cash Reconciliation ~ Training & Mentoring ~ Swaps & Trade Settlement
• Offering 07 years of experience in managing the entire trade, cash & FX processing, settlements & funds &
cash reconciliation, attribution process functions with hands-on experience in calculating the daily PNL while
managing the product controllers & trader in TLM V.2.7, OTC & Derivative products like FX swaps
• Experience in team coaching & mentoring, new process implementation, maintaining process quality, ensuring
the quality of work delivered, workflow optimization including NAV & fund accounting & trade
• Capable of managing client portfolio & its reconciliation, providing research, reconciliation & resolution of the
breaks; knowledge of basic SAP – FICO, Bloomberg, SQL & back-office applications
• Skilled in managing the clients & banking activities, researching and correcting any variances with team
such as distribution of work, calculation & communication of productivity and quality results
• Analytical and quality-oriented professional with an eye for detail
Organisational Experience
Since Feb’13
JP Morgan Pvt. Ltd., Mumbai as Finance Controller - Currency Global Markets
Key Result Areas:
• Managing the OTC & Derivative products like FX swaps and ensuring proper settlement on timely basis by liaising
with different team like settlement team, reference data and others to resolve discrepancy, if any
• Performing trade processing & check settlement instructions and setting-up reference data pertaining to new
account openings
• Posting entries in P & L and Balance sheet at every month end run the balance sheet control checks and
comparing the balance sheet movement between months
• Participating in various projects and testing activities in UAT environment to confirm downstream feeds
• Conducting the weekly call with product controllers and monthly call with trader other higher officials to give them
upto date status on reconciliation
• Calculating T+1 P & L on various product and conducting detailed investigation of position breaks to substantiate
the P & L
• Coaching and mentoring the 5 junior members with focus on completing work before deadline
• Upholding the controls and procedures for the team, reviewing and updating as necessary
• Addressing the internal & external audit queries and discussion with PWC auditors to fulfil their requirements
Highlights:
• Bagged:
o ‘Extra-Miler Award’ for the quarter for independently managing the attribution process and major contribution
in projects team
o ‘Star Award’ for participating in different go-live projects
• Developed Excel templates with formulae which assisted in modifying & running queries as per the process
requirements

2. • Built an internal control checks to maintain high standard of process quality with respect to build client’s
confidence
• Played a key role in process enhancements such as identifying loop holes & executing adhoc requests like prepare
the audit data which published to auditors on quarterly basis
• Prepared SOPs which assisted in respective portfolio reconciliation
• Met quality parameters like accuracy & control within the stipulated turnaround time
• Created SOPs & took sign-offs from the onshore counterparts for all the processes to be implemented Yes
Previous Experience
Oct’09 - Feb’13
Syntel (India) Pvt. Ltd., Airoli as Financial Controller - Portfolio Reconciliation & Resolution
Highlights:
• Received:
o ‘Syntel Value Award’ for Stretch
o ‘Titan of the Month’ in 2011
o ‘Performance Converge Award’ for highest ratings in the year appraisal
• Migrated process with all UAT Testing
• Gained knowledge on TLM V.2.7, OTC derivatives, swaps and trade settlement in settlement department
• Read the payment memos, DDA details and other necessary documents essential to settle trade
• Completed the funds reconciliation, cash reconciliation, calculated the daily PNL, reported to middle office and
product controllers on daily basis
• Performed position & price reconciliation on monthly basis of assets & bonds
• Submitted report to Senior Managers and monthly call with them to smoothen the month-end close
• Ensured direct contact with Investment Manager & Custodian Bank through to resolve the breaks & cash exception
in the books of account of Investment Manager and Custodian Bank
• Researched daily flow of cash trade discrepancies & analysis, managed the immediate escalation about overdraft
and out of balance conditions to Portfolio Manager with all documentations
• Worked on Bloomberg for resolving various par, pricing, accruals and cash discrepancies
• Led the sensitive postings related to client’s cash withdrawal and deposits on daily basis
Previous Experience
Jun’08 – Jul’09
Dombivli Nagari Sahakari Bank Ltd., Mumbai as Clerk
Highlights:
• Played a key role in managing the entire functions of daily journal & ledger, queries of customer, preparing books
of accounts with inflow & outflow of cash, service tax statement & TDS including the cash register
Academic Details
2008 B.Com. from Mumbai University with 66%
Personal Details
Date of Birth: 24th
April 1988
Languages Known: English & Hindi
Address: Shree Mandar CHS Cooperative society, Dombivli (East) – 421201, Maharashtra