Rohit Varma Email and Phone Number

CORPORATE ACTION1. Setting up the information of the corporate action events in the client’s System. 2. Research & Analyse information’s received from several sources regardingupcoming corporate actions. Complete daily validation checks on data supplied by primary vendor to the secondary source. 3. Calculation of the daily client money requirement based on outstanding Corporate Action & Dividend entitlements 4. Processing payments on mandatory actions, voluntary actions, Redemptions. 5. Post allocation, sending market action form to sell shares and pay client. 6. Basic and complex functions such as SDAR, Swift reports, Proxy reports, Resolving Comtracks & “Termination of UIT’s” through sending out the letters. 7. Usage of DTCC, CITI & IDC for gathering data for various reports & payments 8. Working on settlement of trades and CA events, reconciliation of cash and position and providing confirmation of payments. 9. Additional project work includes SOP’s updating, documentation, checklist,tracker and taking care of WBR & MBR. 10. Transition of new functions and ensuring that knowledge is transferred to other team members. 11. Training new joiners and performing quality checks.DIVIDEND DISTRIBUTION1. Research all out of balance transactions and process corrections promptly. 2. Payment of dividends to the end clients based on the settlement and entitlement rule and also assisting teams in the Dividend Reinvestment of clients. 3. Handling client’s requests regarding standing instructions, REIs, and movement of Dividends from account to account. Also processing ADR fees. 4. The overall functioning of the process, identifying improvement areas, and implementing adequate measures to maximize customer satisfaction level.

1. Setting up the information of the corporate action events in the client’s System. 2. Research & Analyse information’s received from several sources regardingupcoming corporate actions. Complete daily validation checks on data supplied by primary vendor to the secondary source. 3. Calculation of the daily client money requirement based on outstanding Corporate Action & Dividend entitlements 4. Processing payments on mandatory actions, voluntary actions, Redemptions. 5. Post allocation, sending market action form to sell shares and pay client. 6. Basic and complex functions such as SDAR, Swift reports, Proxy reports, Resolving Comtracks & “Termination of UIT’s” through sending out the letters. 7. Usage of DTCC, CITI & IDC for gathering data for various reports & payments 8. Working on settlement of trades and CA events, reconciliation of cash and position and providing confirmation of payments. 9. Additional project work includes SOP’s updating, documentation, checklist,tracker and taking care of WBR & MBR. 10. Transition of new functions and ensuring that knowledge is transferred to other team members. 11. Training new joiners and performing quality checks.

1. Account Opening, Maintenance and review, analyzing the documents andproviding updates to advisors of their requests. 2. Processing and Approving different retirement plan which includes Traditional IRA, Roth IRA, Simple IRA, 401k plan.