NAINESH LOTIA
Mumbai,Maharashtra
Summary
Highly experienced and successful finance professional with a proven track record in wealth management and finance. Demonstrates expertise in finance and client servicing, with a strong ability to explore new markets and bridge the gaps between business needs and financial solutions. Successfully manages trade finance needs for clients and financial institutions in strategic financial markets. Proactive decision-maker with superior financial acumen, operating effectively in strategic environments. Accomplished strategic financial consultant skilled in appraising equity and derivatives segments, assessing risk levels, and maximizing sales realization value. Exceptional customer service skills, providing high-quality services and effective first-line customer support. Proficient in identifying and managing risk to minimize financial threats, with superior capabilities in corporate planning, financial strategy, and resource optimization within a highly competitive financial environment. Currently serves as Director (Investor Services) at SS&C GlobeOp Financials, overseeing strategic financial operations.
Overview
21
21
years of professional experience
1
1
Certification
Work History
Director (Investor Services)
SS&C GLOBEOP FINANCIALS
04.2012 - Current
- Supervising team of 10+ Investor Services professionals; applying leadership, coaching & guidance skills in meeting team initiatives & firm wide objectives; striving to continually institute a spirit of top dynamic, which in turn let to superior client ratings on client account surveys
- Participating in sales meetings independently demoing Investor Services products offering to prospective clients
- Assisting in hiring & training initiatives for new hires; developing comprehensive training protocol complete with 1-year roadmap to streamline & guide onboarding efforts & assimilate employees
- Leading client onboarding & conversion initiatives; understanding dealing terms in detail & identifying procedural areas of risk in advance of launch date; acting as primary point of contact during implementation & BAU environments to ensure seamless launch & highest level of client service
- Proactively developing desktop procedure manuals to guide & scale training efforts & eliminate risk associated with nuanced client processing models
- Acting as conduit between business & technology teams to garner insight, provide suggestions, streamline workflows, mitigate risk, & add value to day to day applications, workflows & procedures; actively participating in various technological committees to achieve department objectives
- Acting as project manager & business analyst on key business user applications, managing project queue throughout project lifecycle, shepherding projects to completion on a timely basis with no slippage; assisting in write-up of detailed BRD's to technology team & post production technological release notes to broader department
- Handling specialized customized projects based on specific client requirements to ensure all the needs & requirements are completed which also ensure enhancing the internal process, efficacy & improve delivery time
- Maintaining share registry details including fund structure creation, investor transaction, registration data (Contact updates, ERISA classification, tax details etc.), & investor balance
- Processing investor subscriptions, redemptions, transfers, capital calls & capital distributions; ensuring trade compliance with terms of fund prospectus & any side letters on file
- Instructing cash movements on a timely basis to appropriate destination accounts on relevant dealing day for all capital activity processing
- Collection, review & maintenance of all investor KYC, tax forms & further trade substantiation required to fulfill onboarding & ongoing due diligence requirements
- Completing all appropriate AML screening & KYC identification checks in line with terms of fund subscription document & global AML compliance procedures
- Reconciliation of month end NAV to investor statements; releasing investor statements & trade confirmation to investors via secure web portal
- Assisting investment manager in communications to investors & prospects; answering investor inquiries & assisting potential investor in carrying out fund due diligence (liquidity terms, notice periods, subscription minimum, documentation requirement etc.)
- Assisting in coordination & dissemination of fund publication to investors including financial statements, K-1 & PIFIC statements reporting, fund newsletters, annual privacy notice requirements, & completed audit confirmations
- Disseminating standard & ad-hoc reporting to fund managers to assist in operational maintenance & compliance efforts such as ERISA, authorized shares, liquidity, new issues & investor demographics
- Reviewing investor tax forms & self-certification forms to ensure compliance with US FATCA & CRS regulatory regimes; reporting on in scope accounts via XML schema during annual filing season
- Experience in trade processing in line with a variety of fund structures & accounting methods including partnership, series & equalization
- Coordinating with Fund Accounting team to provide audit support during annual audits season
Analyst (SME & BLR)
CRISIL Ltd
11.2009 - 04.2012
- Performed audits of subsidiaries to protect shareholders and potential investors from fraudulent or unrepresentative financial claims.
- Generated reports detailing findings and recommendations.
- Maintained database systems to track and analyze operational data.
- Evaluated customer needs and feedback to drive product and service improvements.
- Created and managed project plans, timelines and budgets.
- Educated staff on organizational mission and goals to help employees achieve success.
Sr. Customer Service Executive (Payment Remediation)
INTELENT GLOBAL SERVICES Ltd
08.2007 - 11.2009
Credit Card Retention Officer
ICICI Bank Ltd.
06.2006 - 07.2007
Proprietor (Self Employed)
M/s Silver Planets
04.2004 - 05.2006
Education
MBA - Finance
Atharva Institute of Management Studies
Atharva Institute Of Management Studies01.2012
B.Com. - undefined
Rajasthan College
Jaipur01.2004
Skills
- Strategic Financial Solution Planning
- Business Development Expertise
- Project Management
- Investor Services & Trade Life Cycles
- Client Implementation
- Alternative Investments
- Client Servicing
- Bridging Business Needs with Powerful Financial Solutions
- Portfolio Management
- Strong Work Ethic
- Proactive
- Self Motivated
- Planning
- Time Management
- Decision Making
- Creative Problem Solving
- Conflict Resolution Skills
- Excellent Leadership
- Team Management Skills
Certification
- Completed Certification by Maxi Media Foundation for study on a specified curriculum.
Languages
English
Hindi
Gujarati
Personal Information
Date of Birth: 08/03/83
Key Career Accomplishments
- Currently successfully managing one of the biggest Hedge Funds/Alternative Investments with an AUM of US $40 Billion.
- Have successfully advised Foreign Institutional Investors (FIIs) about fund investment strategies focusing more towards potential growth & returns of the funds, regularly guiding them through dedicated conference calls.
- Played a central and pivotal role in mentoring client's junior associates on effective CRM and the vital importance of providing deliverables before TAT to obtain maximum client delight.
- Received a commendation & appreciation from a US client for setting up their US working team well before schedule.
- Managed FATCA and CRS reporting on behalf of client that includes collection of necessary tax and self-certifications forms from investor and categorizing them as per classification and jurisdiction and then reporting.
- Acknowledged for being the most proficient performer providing customer service with FCR (First Call Resolution).
- Acknowledged and appreciated for an error free high performance.
Timeline
Director (Investor Services)
SS&C GLOBEOP FINANCIALS
04.2012 - Current
Analyst (SME & BLR)
CRISIL Ltd
11.2009 - 04.2012
Sr. Customer Service Executive (Payment Remediation)
INTELENT GLOBAL SERVICES Ltd
08.2007 - 11.2009
Credit Card Retention Officer
ICICI Bank Ltd.
06.2006 - 07.2007
Proprietor (Self Employed)
M/s Silver Planets
04.2004 - 05.2006
B.Com. - undefined
Rajasthan College
MBA - Finance
Atharva Institute of Management Studies
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