1. Paresh R Joglekar
H-403, Eternity Coop Hsg Socy, Near TeenHathNaka, Thane 400604
+91-9820348572s
SUMMARY
Leader with 19+ years of experience in Capital Markets, covering operation functions for
Wealth Management, Portfolio Management Services, Custody & Depository Services,
Broking Bank Office, Mutual Fund Back Office operations.
KEY COMPET ENCIES
Customer Services | Operational Excellence | People Management | Conflict Management |
Strong Focus on overall Stake Holder Management through Well Defined SLAs | Sensitivity
to regulations, compliances | Strong Governance
OT HER SKILLS
Team Management | New Business Opportunities & initiatives | Business Continuity and Disaster
Recovery | Business Decision Making | Policy Formulation| Corporate Governance
EXPERIENCE
Dec 11 - Present T HE ROYAL BANK OF SCOT LAND N.V.
Vice President & Head Operations – Private Banking
Prior
Oct -09 – Dec 11 Alchemy Capital Management Pvt Ltd.
Vice President & Head Operations – Portfolio & Wealth Management.
Oct 06 – Oct 09 ICICI Prudential Asset Management Co.Ltd
Associate Vice President - Operations
Portfolio Management Services.
Dec-04 – Sep 06 Stratcap Securities (India) Pvt. Ltd.
Sr. Manager – Operations
Equity & Derivatives
Jan 04 – Nov 04 ICICI Bank Ltd
Manager Operations
Custody Services & Equity Derivatives.
Sep 98 – Jan 04 Global T rust Bank Ltd.
Manager Operations – Depository Services.
May 98 – Sep 98 J.M. Capital Management Ltd.
Executive – Back Office Operations.
Nov 96 – May 98 HDFC Bank Ltd.
Officer – Custody Operations.
Jun 95 – Nov 96 Federal Custodial Services Ltd.
Officer – Custody Operations.

2. FUNCT IONAL SNAPSHOT
Current
 People Management
 Income Accruals and receipts
 Maintain agreed Service Levels with business partners and stake holders.
 Revision and implementation of process notes.
 Regulatory reporting.
 Compliance to circulars issued by regulators.
 Internal / Concurrent / Regulatory audits.
 Adherence to KYC and AML regulations
 Adherence to FATCA regulations.
Prior
 People Management.
 Income accruals and receipts.
 Matching, Reconciliation, and allocation of transactions for Equity , Deriv ativ es, Mutual Funds.
 Brokerage Reconciliation with serv ice prov iders and channel partners.
 Empanelment of channel partners, brokers and serv ice prov iders.
 Liaise with relationship Managers and Custodians for client on boarding and opening of new client account.
 Liaise with Fund Managers and Dealers for funds and securities av ailable for inv estment decisions.
 Liaise with software v endors to implement regulator changes and new business requirements.
 Regulatory reporting.
 Compliance to circulars issued by regulators.
 Internal / Concurrent / Regulatory audits.
EDUCAT ION
1994 Bachelor Of Commenre
Bombay University
Certifications Various certifications done on Global conduct and ethics , Global Data protection, Global
Competition Law , Global Anti-Corruption &Bribery, Anti Money Laundering and Counter Terrorist
Financing Awarness, Sanctions Awareness
LANGUAGES English | Hindi | Marathi
PERSONAL Date of Birth: Sept 1, 197 1