Gokul M

About Gokul M

I am a detail-oriented Senior Analyst with 4+ years of experience in the Operations field with proven expertise in Estate Processing, Documentation review, Asset Transfers (ACAT and Non-ACAT) and Brokerage & Securities operations within the wealth management industry. Currently supporting Edward Jones Investments (via Deloitte India), I specialize in managing Estate asset transfers, trust & beneficiary distribution, documentation review and regulatory compliance. With strong knowledge of Alternative Investments, Portfolio Management and Trade settlement management, I ensure seamless client servicing, operational accuracy, and regulatory adherence (FINRA, IRS, SEC, HIPAA). Skilled in handling Mutual Funds, Equities, Bonds, Annuities and Money market instruments, I bridge client needs with operational excellence.Key Skills & Expertise:• Estate & Trust Operations (Asset Transfers, Beneficiary Payouts, Documentation Validation, Account maintenance)• Wealth Management & Private Banking, Asset Movement, Reconciliation, Brokerage Operations, Trade Lifecycle, Financial Markets, Hedge funds, Private Equity, Mutual fund operations, Stock Market(Indian & US Equity), Trading, Regulatory Compliance (FINRA, IRS, HIPAA), Financial Data Analysis, NAV/Valuation, Reporting.• Tools: Salesforce, Apex Transfers, PEGA, Power BI, Tableau, MS Excel, MS Word, MS Powerpoint I am passionate about streamlining financial processes, improving client experience and building a career in Global wealth management & Estate services.

Experience

1. Senior Analyst

   Deloitte

   Sep 2024 — Present · Bengaluru, IN

   CLIENT - EDWARD JONES INVESTMENT (U.S)• ASSET TRANSFERS - Managed asset transfers for decedent accounts across individual, joint, trust, and IRA/401(k) structures, ensuring accurate re-registration and estate distributions. Processed specialized accounts including 529 education plans and retirement accounts after verifying ownership and eligibility.• DOCUMENTATION REVIEW - Reviewed estate documentation such as Death Certificates, Wills, Probate Letters, Trust Agreements, Power of Attorney, Tax Waivers (L-9), IRA Decedent Forms, Corporate Resolutions, Custodian and Guardian Accounts to ensure compliance with internal policies and regulatory standards.• SECURITIES & TRADE SETTLEMENT - Supported trade settlement by validating buy/sell transactions, dividends, and interest postings. Verified mutual fund NAVs, stock prices, and performed CUSIP reconciliation. Processed ACH, wire transfers, subscriptions/redemptions, insured bank deposits, and income distributions with accurate same-day funding.• CLIENT PORTFOLIO MANAGEMENT - Maintained client portfolios exceeding $10M+ in assets across Mutual Funds, Equities, Bonds, ETFs, Annuities, Cash, and Money Market Instruments. Reviewed holdings, asset allocation, market value, and portfolio performance.• CLIENT & INTERNAL COMMUNICATION - Coordinated with financial advisors, branch teams, and internal departments to resolve discrepancies and obtain documentation. Provided updates on estate processing timelines and beneficiary payouts.• RECONCILIATION & TRANSACTION MONITORING - Performed daily reconciliation of transactions and client positions, verified share balances and NAV calculations, and monitored accounts for unusual activity in line with AML and compliance policies.

Education

• Sri Krishna Arts and Science College

  Bachelor of Commerce - BCom, Computer applications

• GIBS Business School

  PGDM, Finance, General