Operations & Compliance :- Management of all the systems and processes .- Developing and overseeing control systems to prevent or deal with SEC violations of legal guidelines and internal policies-Evaluating the efficiency of controls and improve them continuously-Revising procedures, reports etc. periodically to identify hidden risks or non-conformity issuesClient Relationship :- Primary point of contact for clients - Acting as the liaison between the clients and the other team members of NEFPG.-Ensuring that client’s needs and requirements are followed through in a timely and accurate manner.

Client Service and Relationship • Extensive day and arbitrage trading on ISM . • Investigate and follow-up on all client inquiries• Point of contact for all queries by agents and their assistant’s.• Performance reviews and generating rate of return reports.• Generating and verifying daily commission and activity reports of all agents.• Ensure clients’ accurate and timely completion of all necessary documentation and forward to appropriate Branch contact.

Client Service:• Attend prospect and existing client meetings with the Advisor. Acquire information on the client’s current finances and financial goals.• Assist the advisor in developing an overall financial plan that determines the client's problem areas, make suggestions for improvement and select suitable investments.• Advise clients, with the guidance of the advisor on financial plans utilizing knowledge of tax and investment strategies, securities, insurance and pension plans.• Duties include assessing clients' assets, liabilities, cash flow, insurance coverage, tax status, and financial objectives to establish investment strategies.Managerial Duties:• Managed 3 direct reports for Client Operations, Marketing and Market Research.• Segregated responsibilities to direct reports based on the skill set and validated their work after thorough analysis.• Maintain Statement of Assets and the Return on Investment of client accounts.• Investigate and resolve inquiries and complaints related to accounts.• Attend presentations by Fund Companies to keep abreast of new products available in the market.

Client Service:• Input and follow-up on client orders as directed by IA’s. • Investigate and follow-up on all client inquiries• Utilize contact management system for all necessary follow upAdministrative:• Follow-up on client trades to ensure proper settlement and delivery• Maintain current knowledge of client accounts by reviewing daily activity online and on applicable reports• Monitor all pending transfers to ensure completion on a timely basis• Documentation & New Accounts Openings

• Worked as an office assistant to Financial Advisor. Contract Position.

Fund Accounting:• Built and managed diverse high quality Portfolio’s for High Net-worth individuals & corporations. Monitored the same so as to achieve the targeted profits and returns on investments. • NAV Calculations of the portfolio on a daily basis.• Monitored & analyzed the performances of the various Mutual Funds, their returns on the investments on daily basis. Maintained market intelligence on new offerings. Liaising with Fund managers of Mutual Funds and back office.• Created worksheets to enable quick and efficient calculations on portfolio returns as well as tax implications on sale. Update various databases on regular basis and produce and prepare graphs and charts that enable sound and helpful advice for investment and deployment of funds.• Advised on investment decisions to deployment of funds in different schemes, offered by Mutual Funds or the Primary/ Secondary market.• Responsible for planning, implementing and monitoring the growth and profitability of the Investments of the Individual’s and Companies.• Created databases and follow up systems for identification of leads and opportunities for potential clients and enhancing relationship with existing clients.• Responsible for leading & motivating a team of people. • Tax Planning of Investments. Taxation of Individuals up to Finalization of accounts.Trader – Stock Exchange• Registered Dealer on the National Stock Exchange.• Successfully using arbitrage opportunities available in the market • Gathered and read various research reports on companies that offered good investment opportunities. • Monitored & analyzed price movements of stocks, read and understood financial reports so as to give resourceful advice to existing and prospective clients.