Name: Arun ShindeContactNumber: 9769414976; 022-28908360Email:karunpshinde@gmail.comRes. Location: Borivali, Mumbai

Experience Summary:

MBA Finance graduate, have 2.7 Decades of experience; 11 years with IT and KPO and 16 years with Mutual fund industry. Have experience in handling team size of 100+ staff. Had exposure to Indian, Global Financial & Securities Markets. Worked with Syntel, UTI MF, Sahara MF. Worked with international clients like State Street Bank & Trust Company, BFDS, Morgan Stanley Investment Management. Travelled to USA, UK for migrating projects. KPO and ITES experience that covers : Trade lifecycle management - End-to-end trade lifecycle support for asset classes across trade capture and enrichment, confirmation, settlements, fails management, collateral management and reporting. Reconciliations - Support for stock and cash reconciliation to a number of clients. Fund accounting - Process trade files, resolve portfolio exceptions, process expenses, publish NAV.

Worked in middle and top management capacity.

Current profile:– Monitor Investor Service Request and Complaints, Sales and Marketing, Coordination with external service providers viz. Registrar & Transfer Agent, AMFI, SEBI, CRISIL, BSE StAR, DOTEX, KRAs (KYC Registration Agency), FIU India etc. , Coordination with AMC Branches, ARN Holders, Respond Income Tax office for notices etc.

Skills:

Mutual Fund - Domain

Customer Servicing, Client Management, Process Management and People Management Investor Relations - monitor investor queries, coordination with R & T agents Branch coordination – for Sales and marketing, Investor and Broker meetings, provide approvals Coordination with Registrar and Transfer Agent – Karvy for investor services Coordination with all 5 KRAs for KYC related matters Interacted with domestic registrars viz. TCS, Datamatics, Mafatla Worked with international registrars IFDS, BFDS. Managed Corporate / Zonal / Branch level accounting Testing– Regional coordinator for APAC region (Sydney, Tokyo) for BUAT, CUAT, Prod Movement

and Parallel run test phases, Sign offs. Trades and Settlements – Online Trade Processing on multiple systems Cash and Stock Reconciliation, Corporate Action processing ERP – SAP database administrator and core team Manager Mainframe client business application support – MCH, Mystatestreet, Instruct, RKS Hands on work experience on RDBMS-SQL in ORACLE & Unix, Ms Office (Word, Advanced Excel,

Power point and Visio) Dos, Windows, Internet, SharePoint, VB Macros

Corporate LEAN Initiative

Lead, Initiate, Plan, Organize, Monitor and Control Operations Improvements through LEAN initiative within company. Head 7 Business units (MSO Mumbai, Manufacturing, Information Services, Technology Services, Investment Management Services, Travel, Procurement - having 5000 employees of total 24500 employees).

Lead team of over 100 SPOCs within Business Units. MIS Reporting to senior management

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Career Achievements:

Syntel “Speed” value award and Cash award for Q3 2006. Syntel “Simple” value Award for Q2’08. Achieved internal promotions within Syntel Achieved internal promotions within UTI Honored for 10 years’ Service Award in Syntel Three onsite assignments

Experience:

SAHARA MUTUAL FUND 16th Jul’2015 till date

Company profile:

Sahara Mutual Fund is a SEBI approved mutual fund having 21 branches across India. It mobilizes funds from public and corporate investors by selling mutual fund schemes, invests them in capital market and provides consistent and stable returns to unit holders.

Profile, Role: Head – Sales & IR, Principal Officer Designation: Deputy Head – Sales & IR

Monitor Investor Service Request and Complaints, Sales and Marketing, Coordination with external service providers viz. Registrar & Transfer Agents, AMFI, SEBI, CRISIL, BSE StAR, DOTEX, KRAs (KYC Registration Agency), FIU India etc. , Coordination with AMC Branches, ARN Holders, Respond Income Tax office for notices etc.

SYNTEL 24th Jun’2004 to 15th Jul’2015

Company profile:

Syntel is a leading global provider of integrated information technology and Knowledge Process Outsourcing (KPO) solutions spanning the entire lifecycle of business and information systems and processes.

Profile: Manager – Operations Excellence Designation: Project Manager

Responsible for nurturing automation and process improvements, LEAN culture, LEAN management in organization. Liaise with business teams and update LEAN initiative progress to senior management. Organize LEAN orientation and advance trainings, maintain Idea Junction, monitor LEAN ideas, Facilitate implementation of LEAN improvements and spread LEAN culture across the company. Organize Operations Excellence seminars, webinars.

Profile: Regional Coordinator for APAC Designation: Project Manager

Coordinating from offshore with multiple stakeholders of the project that include client senior management, BAs, SMEs and testers. Testing BUAT / CUAT and Parallel environment for Morgan Stanley. Body of work - Trade management and Reporting

Profile:Project Manager Designation: Manager

Mainframe Applications supported:MCH (Multi Currency Horizon) – Custody and Accounting system, Instruct – Trade processing application, Mystatestreet website – web based custody and accounting reporting tool for Investment Managers, Secure Transport – secure file transport gateway, DWS – Derivatives Workstation, NAVAlert – Accounting NAV calculation application, Cash manager – FX portal, CapTain – Corporate Action processing tool, Remedy – User Query tool.

Collateral Management Support:(a) Set up client agreement on mainframe system (b) Set up user profiles (c) Level 2 support to Europe and US regions

SWIFT Support – (a) testing SWIFT messages (100 to 900) (b) Setting up of Inbound and outbound messages (c) SWIFT testing using BESS application

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Daily and monthly reporting – (a) Preparation of daily reporting deliverables per SLA (b) Prepare month-end reconciliations with administrators (c) Handle ad-hoc queries from clients and prepare responses. (d) Year-end and interim Audit and Tax support for clients.

Support: – (a) Recording client queries/issues and resolving them. (b)Provide various MYSS Reports as per the client requirements. (c) Assisting clients with regards to queries relating to MYSS. (d) Assisting clients for setting up of securities, corporate actions, pricing and other portfolio related issues. (e) Coordinating with systems team to resolve technical issues and passing on client’s inputs with regards to amendments/ improvements in the system.

Profile: Operations Manager Designation: Team Lead

Scope of work: Setting up security identifier includes ISIN, SEDOL, CUSIP in mainframe system (MCH) with the

help of Bloomberg, Euro clear, DTC sites. Transaction Processing – (a) Trade processing. (b) Security set ups in the database based on

information taken from data vendors or client. (c) Processing various corporate actions. Corporate action: To ensure the accurate and timely identification of all Corporate Actions.

Process corporate events (Rights, Bonus, Dividends and M&A); to the corporate actions processing team in accordance with client service level agreements

Reconciliations – (a)  Trade, Position, Cash, Cost , Market Value & P&L reconciliations against various Prime brokers. (b) Break resolution.(c)  Assistance with development of automated reconciliations (Mapping of prime broker files versus accounting system)

Implementation Support – (a) Data conversion. (b) Reconciliations with historical records. (c) Funds set up as per Fund offering documents. (d) Set up new accounts in accordance with the specific terms set forth in the funds offering documents. (e)  Investor set-ups (f) Security reference data set-ups.

Free Lance Assignment

UTI Securities Ltd Dec’03 to May’04

Profile: Senior Consultant Designation: Retainer

Company profile:Primary Dealer which undertakes trading in fixed income securities, money market instruments, interest rate swaps, corporate bonds and equity (both cash and F&O). The Company also undertakes fee based activities namely Portfolio Management Services and mutual fund distribution.

Scope of work:(a) Working Capital Management (b) Monitoring of Pay in and Pay out of funds as per stock exchange settlement calendar (c) Preparation of Cash Flow forecast statement (d) Deployment of Excess Funds in short term securities (e) Follow up with Branch Offices for fund remittances (d) Finalization of Accounts

UTI Mutual Fund Aug ‘87 to Nov ‘03

Profile: Manager (Corporate Accounts) Designation: Manager

Company profile:UTI Mutual Fund is a pioneer in the Indian Mutual Fund industry. It mobilizes funds from public and corporate investors by selling mutual fund schemes, invests them in capital market and provides consistent and stable returns to unit holders.

Scope of work:I) SAP Core team, Corporate Accounts, Mumbai. Technical: (a) Configuring SAP R/3 FICO: Transport requests, Table Maintenance, Customizing, Online Support system (b) Financial Accounting: Chart of Accounts, FY Variant, PP Variant, CC configuration, BA creation, Account group creation, Master record creation/ updating, FSVs, PK configuration, FSGs, Line

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Layouts, Sort and Total variants, TOLG, Doc types/Number ranges, Default PK. (c) Accounts Payable: House Bank Accounts, Bank Account Creation, Payment Program configuration, Paying CC data, Vender Master Data, Vendor Groups.(d) CO: Controlling area, Activate components, Control indication, Assign CC to controlling area, Maintain CO version. (e) Cost Element Accounting: Create cost element types, Primary/Secondary Cost Elements, Batch Input sessions, Execute Batch input sessions, Clearing Accounts creation. (f) Cost Center Accounting: CC standard hierarchy, Adding new nodes, changing nodes, deleting nodes, moving nodes, Controlling Area Profit Center Accounting, Maintain, Create and Change Cost Centers.

II) Corporate Accounts, Mumbai Functional:(a) Monitoring All India Scheme Postings (b) Analyzing All India Trial Balance (c) Monitoring Inter Office Differences (d) Preparation of Balance Sheets, Checking Balance Sheet Groupings (e) Co-Ordination With Statutory Auditors For Finalization of Books of Accounts (f) Monitoring All India Income Distribution Liability Booked under Various Schemes, Unit Capital Reconciliation Status, Bank Reconciliation Status, Inter System Control Account Difference, Differed Revenue Expenditure, Monitoring Expenditure Prescribed by SEBI, Daily Release of Payments, Termination/Wind up of Schemes, Issue of Accounting Guidelines and Circulars for designated schemes.

III) UTI, Panaji Branch Operations:In charge of After Sales Services,Accounts, Sales and Marketing:Complete exposure for branch operations management in areas viz. Processing of Sales Applications, Issue of Unit Certificates, Processing of Agent Commissions, Issue of Duplicate Certificates, Transfer and Transmission of Certificates, Repurchase and Redemptions, Registering Nominations, Company Documents, Death Claim Settlements, Change of address/ names/ minor corrections, Attending to Investor Queries, Management of MIS. Accounts - Monitoring Voucher Posting, Trial Balance, Preparation of Budgets, Attending to Internal and Statutory Audit Compliance. Technical:(a) Implemented the Technology Upgradation Project (TUP - back office application software, oracle 7.3 with oracle forms and oracle reports on Compaq true 64 Unix platform developed by M/s CMC ltd.Data migrated from legacy FoxPro database to oracle database using SQL loader.Oracle Database Administration (Oracle 7.3) [Data Backups, User Management, Application Software Management](b) Unix Administration (User management, Disk Space Management)

Education:

2006 MBA (Finance) from IGNOU, New Delhi.2006 PGDFM from IGNOU, New Delhi.2006 PGDIM from IGNOU, New Delhi.2004 DIM from IGNOU, New Delhi.1998 CAIIB from IIB, Mumbai.1991 PG DCM from JBIMS, University of Mumbai.1985 B.Com from University of Mumbai.

Related certifications:

Certificate name InstitutionNISM Series V A – MF Distributors Certification Exam. NISMSCRUM Master International SCRUM

InstituteCapital Market Syntel LtdAMFI Mutual Fund Employees Test AMFI

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Diploma in Unix and C BDPSUnix Oracle 7.1, Report Writer 1.1 AptechUnix Sys Admin , Oracle DBA AptechProject Management Fundamentals Synvidya, Syntel LtdCertified Business Analysis Professional (CBAP™) - BABOK® Guide V2.0 aligned

Synvidya, Syntel Ltd

Personal Vitae:

Date of Birth : 1st October 1964Languages known : English, Hindi and Marathi.Base Location : Mumbai.Permanent Address : D-1001, Shree Krishna Complex, Opp National Park Highway, W E Highway,

Borivali East, Mumbai, Maharashtra, India PIN 400 066.

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