Vikas Kadam Email and Phone Number

Responsible for managing day to day activities of Customer Service and Operations at Branches:-• Managing a team of 17 employees who handle customer service & operational activities at branches• Daily Transaction processing relating to subscriptions, redemptions, switches and Non Commercial Transactions. • Investor / distributor queries & complaints handled by team are resolved as per service standard and open cases are closely monitored.• Ensure that Logbook for daily transaction is tallied for all time stamped transactions• Preparation of MIS and dashboards• Ensure that branches are reconciled Redemption Processing Report (RPR) daily• Pending cases escalated by investor / distributor are closely monitor for resolution• Calling for RTGS/NEFT redemption rejection cases done by branches and credit the funds in investor’s correct account. • Providing solution to streamline and strengthen process to avoid delay in processing of transactions. • Monitoring for High Risk transactions• Tracking of pending transaction MIS and delay in SIP instalments debit cases• Training is given to the team on regulatory (SEBI & AMFI) and internal process changes • Allocate work to the Team and ensure proper work allocation so that everyone is familiar with each activity. • Recommended several changes and suggestions in processing, enhancements / validations in system to process transactions smoothly and accurately.• Vendor Management – KRAs, Points of Service, printers for account statements and couriers• Making the branch audit compliant• Addressing process and system related training needs and development of resources across multiple locations • Monitoring Turn Around Time (TAT) & deliverables• Ensure no compliance related deviations to be identified in any reviews or audits of the branches in the zone• Ensure Internal audit observations to be addressed within the agreed timelines• Engaging actively with key stake holders & Distributors

Responsible for uniform Best Practices & Compliance in Customer Service across all locations in India and providing solutions to streamline and strengthen processes. Besides that ensure all locations are complying with all Regulatory requirements. • Customer Experience – It is a change management program aimed at reassessing the critical needs of investors and distributors. Identified broad themes which were intended at providing competitive edge at the market place.• Faster and Efficient Processes – Introduced KYC (Know your customer) processing at branches, KYC at CAMS centres for Franklin Templeton. Initiated scanned based processing at remote branches.• Responsible for documenting Policies and Processes (P&P’s) as per respective regulatory guidelines. Conducting process walk through and identifying process gaps. Reviewing of processes in regular intervals and keeping updated as per changes in business requirements, and regulatory norms.• Coordinated the set-up of Points of Acceptance (POS) through third party service providers like CAMS and Karvy. I have set-up 87 CAMS and 19 Karvy collection centres for Franklin Templeton.• As CAMS coordinator, ensures that CAMS branches are updated about all the process / regulatory changes like addendums, details of NFO launches, redemption windows & maturity dates etc.• I have been taking care of approvals on exception cases (time stamp missed out / reporting cases).• Maintaining of various MIS with analysis and sending to management.• Sharing monthly transaction error MIS to CAMS, highlighting repeated errors & educate them time to time to reduce processing errors percentage.• Also responsible for branch processes review (PAN India) and ensure that branches are audit compliant and following uniform processes.

Responsible for managing day to day activities at Branch.• Daily Transaction processing relating to subscriptions, redemptions (including FMP maturities), switches and Non Commercial Transactions.• Managed a team size of 22 employees who handle customer service & operational activities at branches (Highest transaction volume processed by branch in a day was 1300 commercial transactions, 150 plus non-commercial transactions, 84 T+0 redemptions & 152 high value cheques banking).• Handled high value institutional transactions and Investor / distributor interactions.• Printing of account statements and dispatching to the investor as per service standards. • Handling investor / distributor walk-ins and calls for their queries / complaints like non-receipt of redemption warrants, dividend and account statement etc. and ensure that they are resolved as per service standards.• Processing of Systematic investment plans, Systematic withdrawal plan, Systematic transfer plan.• Interacting with Back Office for transaction related queries to ensure that all transactions processed in time.• Taking care of all In-house transfer and RTGS cases and depositing transfer cheques in various banks in time and maintaining bank clearance report. • Coordinating with Cash Management team for RTGS/NEFT redemption rejection cases & providing them correct data to credit the funds in investor’s correct account. • Regular training to team on regulatory (SEBI & AMFI) and internal process changes.• Allocation of work to the Team.

Worked in their Mutual Fund Department and was handling all operational activities of Birla Mutual Fund, Reliance Mutual Fund & IDBI Mutual Fund.

Headed Registration and Transfer (R&T) and Public Issue department and handled all activities related to transfer of shares, post issue and other works related to share transfer of the following companies.• Videocon Appliances Ltd.• Videocon VCR Ltd.Related to Public Issue: • Figures collection from Bankers.• Data Processing.• Arranging basis of Allotment file. Related to Post Issue:• Processing of Transfer forms.• Transmission / Deletion / Transposition of shares.• Keeping note of Change of address / Stop transfer / Lien / Mandate / Power of Attorney.• Making Distribution Schedule / AGM Reports.• Filling Annual Return / Updating Register of members.• Consolidation of Shares / Amalgamation of Folio’s / Splitting of Shares.• Issue of Duplicate shares certificates / Bonds certificates / Dividend warrants / Interest warrants / Refund orders. • Reconciliation of Dividend Warrants / Interest Warrants / Refund Orders.• Demat and Demat of shares and other work pertaining to share matters.• Figure collection from Bankers.• Data Processing.• Arranging basis of Allotment file.

Worked in their R&T and Public issue department handling all activities pertaining to transfer of shares and Post Issue.