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Mr.

PRASHANT S SAWANT
Mobile: 9967869051 /25804300 ~ E-Mail: psawant77@yahoo.com / psawant007@gmail.com. In pursuit of career enhancing opportunities in the field of: Product Management- Financial Planning & Business Analyst EXECUTIVE SUMMARY A resourceful administrator & strategic planner with over 7.8 years of comprehensive experience in Global and Indian Capital Markets, General Accounting, Financial Planning, Product management & business analyst. Currently associated with Techno Shares & Stocks Ltd - Mumbai as Manager (Product Management Financial Planning/Wealth Management). Knowledge in Product management, Capital Markets, Mutual Fund, Insurance, Financial planning, Taxation Domain. PROFICIENCY MATRIX

Business Analyst & design Project Management Operations Liaison / Coordination

Effective communicator & team mate with strong analytical, problem solving & organizational abilities. A keen strategist with expertise in managing cluster operations with key focus on top line & bottom line business by ensuring optimal utilization of resources.

Relationship Management People Management

Proficient in developing & streamlining systems with proven ability to enhance operational/ administrative effectiveness and meet operational goals within cost, timelines & quality parameters.

CAREER RECITAL Since March10 Oct 2012 Techno Shares & Stocks Ltd, Mumbai As Manager (Product Management Financial Planning/Wealth Management Operations) Company Profile: TSSL Ltd. Is a subsidiary of Way2Wealth Brokers Pvt. Ltd. is a dynamic, well diversified and professionally managed business house, primarily focused on Financial Services Sector. Founded on the philosophy of "A service approach to growth.

Current Role: Participated in Setting up of completely new department of product management - Financial planning & Wealth Management Operations & managing the entire product operational activities & resource management. Understanding Technical designs & Specifications, Strong system & Process Knowledge. Documenting Business Requirement Specifications. Develop Functional designs; Identify Risk & Alternate Design Feasibility. Identifying probable risks by conducting Risk Analysis and implementing corrective measures to mitigate the same Analyzing risk appetite of an individual for providing them apt solutions, ensuring that solutions provided match the risk profile Monitoring and tracking key processes in financial planning product Operations Support Unit to ensure its compliance to operating policies & procedures. Actively involved in preparation of Comprehensive Financial Plan based on information provided by clients, present the financial plan to clients & complete monitoring of a plan. Renewal of financial plan every year. Dealing with various investment products such as Mutual fund, Insurance, Capital markets, structured products, Commodities etc. Preparation of Mutual Fund Research Reports, Products Presentations, Products note for new products. Presentation in various financial planning awareness programs such (Retirement planning Income Tax office Mahalaxmi, Financial Planning At Fortis Hospital & Bennett & Coleman. Conducting various knowledge sharing session for Team members. Periodic review of customer investment Portfolio reviews & rebalancing of portfolio.

Co-ordinate and servicing with Corporate, HNI and Institutional Clients. Generate Management reports for seniors.

Key Highlights: Project Management, Requirement Gathering and Business Analysis Business Requirement Specification & Sign-Off. Testing & Quality Assurance. Responsible for managing the operational Team. Jan08 - Mar10 Bank Of America Continuum India Ltd., Mumbai As Team Member FAS Company Profile: BANK OF AMERICA CONTINUUM INDIA PVT. LTD is wholly owned subsidiary of BANK OF AMERICA MORTAGE, HOME EQUITY & INSURANCE. Bank of America operations in varied businesses like Retail & Investment Banking, Mortgage, Capital Market, and Insurance. Key Highlights: General Accounting & Production Accounting & Risk/Compliance Preparing various management reports such as, productivity report, Operational Risk Matrix, BCP etc. Maintain, control and perform moderately complex GL account reconciliations and financial statement analysis Assist in Preparation of Budgeting system. Preparation of Business Requirements report for clients Reconcile department, business unit, or Company ledgers or sub-ledgers with or without the use of specialize software programs. Investigating questionable data and out-of-balance conditions. Recommend solutions and follow through on actions to resolve discrepancies Reconcile and update accounting records on a daily basis. Research, analyze, and reconcile accounting discrepancies in accounts as required. Generate hard copy documentation related to intercompany charges for appropriate settlement with Parent Company based on detailed and thorough research. Perform detailed month to month variance analysis of P&L accounts during month end closes and explain variances by reviewing account activity on the General Ledger. Prepare routine accounting reports on a daily, weekly, or monthly basis as required. Resolve a variety of conventional problems, questions and/or situations in accordance with established criteria, practices and/or protocol. Worked of softwares like ERP Oracle & Hyperion. Operate within the general division and company procedures and policies and seek managerial approval when faced with situations requiring departure from these procedures and policies. Work with U.S. counterparts to ensure work is accurate and meets pre-defined criteria. Conducting conference calls with the client on Weekly basis for discussing all outstanding issues Accounts Payable: Accounting & payments processing to various types of vendors, preparing bank reconciliation & doing creditors ledger scrutiny. Verification of Invoices & Accounting. Checking the Customer Code, Cost Center. Doing Ledger Scrutiny of the various types Vendors & sending the formal mail regarding their Outstanding. Sending the Formal application mail of the Remittance to various vendors along with the wire copy of the remittance Conducting conference calls with the client on Weekly basis for discussing all outstanding issues. June05 - Dec07 State Street Syntel Sourcing Pvt. Ltd., Mumbai As Senior Associate

Company Profile: State Street Syntel is a one of the biggest financial services organization which is associated with largest European investment bank State Street. Syntel is also associated with various leading mutual fund companies in UK (Prudential, M&G, Artemis, Gartmore, and Schroders & Virgin Money. It provides various transfer agency services to AMC in UK. Key Highlights: Transfer Agency, Trade processing & reconciliations, Anti Money Laundering & Cash Management. Worked on Mutual Fund Client Maintance, Trade Processing/reconciliations, Anti Money Laundering, Fund Accounting/Administration/Reconciliations, and NAV Valuations adhering to FSA code of conduct. Placing deal of purchasing, repurchasing, switching fund schemes or Fund transfers by proper allocation of work within given deadlines or SLA. Arranging settlement of any purchases and sale of securities shares, corporate & government bonds in CREST.

Team management involving Motivating, Training, Mentoring & resolving their issues. Conducting conference calls with the client on Weekly basis for discussing all outstanding issues. Setting up the client in the system & updating their money laundering status after verifying the identity proof documents (Documentation) Interacting & Investigating with Compliance team in case of suspicious or fraudulent activity & report SRA. Process various legal docs. Work such as Transfer, Transmission for deceased clients. Paying out dividend & maintaining regular saving facility for various unit holdings by way of Cheque & Bank Automated Clearing System (BACS). Sending contract notes, new scheme details & Key Feature Documents to the investors. Verification and documentation, preparation of process notes on all work types Controlling over the volume of Mancos i.e. financial & non financial processing. Doing quality check as per management companies specification. This includes checking right from setting the client accounts to sending the redemption proceeds to their account as per T+1..T+3 rules Worked in Quality Team as a Quality Checker for various transfer agency business activity. Making Cash / Dividend Payments by using SWIFT, BACS, and CREST etc. Performed AML (Anti Money Laundering activity) for new as well as existing customer as per standards set by various investment companies. Planning and conducting cross training within process to make team members trained on multiple clients. Maintain all Service Level Agreements SLAs. SCHOLASTICS

Pursuing FRM from Global Association Of Risk Planner Certified Financial Planner (CFP) From FPSB India - 2010 Master's Degree in Business Administration (Finance)- First Class Sikkim Manipal University 2010

Bachelor's Degree in Commerce (Finance)- First Class Joshi Bedekar College, Mumbai University, Maharashtra 2005 OTHER CREDENTIALS

Diploma in Computer Applications (MS Office, Windows based Application, Tally 6.3/7.2) . MS-Access Database & Basics of SQL. PROFESSIONAL ENHANCEMENTS

NCFM Capital Markets Certification NCFM Derivatives Markets Certification NCFM Commodity Markets Certification NCFM Depository Certification NISM Mutual Fund Distributor Module Certification IRDA Insurance Certification Completed 3 day certification programme on Understanding & preparing financial plans on excel. Attended 100 hours Insurance Basic Training from III. Awarded for achieving 100% Quality with state street Syntel. Appreciation in PRIDE for outstanding performance with Bank of America . PERSONAL DOSSIER

Date of Birth Languages Known: Current Address: Nationality: Hobbies: Passport No:

20th August 1985 Hindi, English and Marathi. 101 Sawant Niwas, C P Talav, Near Rahate General Store, Wagle Estate, Thane (W) 400604 Indian Listening Music, Travelling, Reading various books. G 6817282