Welcome to MAXRISEWEALTH, where your financial future is our top priority. We are a premier financial planning & wealth management firm, founded on the principles of integrity, expertise, and personalized service, dedicated to helping individuals; families, and businesses achieve the financial goals with confidence and clarity.We offer a wide range of services tailored to meet your specific needs, including.Investment Management: Strategic portfolio management and investment planning to help you achieve your financial goals. Financial Planning: Comprehensive planning that addresses all aspects of your financial life, from budgeting and saving to retirement. Wealth Preservation: Strategies to protect and grow your wealth while managing risks and minimizing tax implications - PMSRetirement Planning: Customized plans to ensure a comfortable and secure retirement, tailored to your lifestyle and goals - NPS, MF, Corporate FD, Bonds, Govt. SecuritiesTax Planning: Effective tax strategies to minimize your tax burden and maximize your savings – ELSS Funds, ITR, GST & TDSInsurance Solutions: Customized insurance plans to protect your assets and loved ones – Life, Term & Health InsuranceLoan Services: To meet your financial needs – HL, PL & Loan against Security (LAS)Our approach is rooted in a deep understanding of your financial landscape. We begin with a thorough assessment of your current situation, including your assets, liabilities, income, and expenditures. From there, we work collaboratively with you to define your short-term and long-term objectives basis the risk taking capacity. Using this insight, we develop customized strategies that encompass investment management, tax optimization, child higher education and marriage planning, buying vehicle & house planning, emergency liquid funds availability, retirement planning, and risk management. We ensure your plan remains on track as your life and financial circumstances evolve.

• Develop and implement HR strategies aligned with organizational goals, including talent acquisition, retention, and succession planning.• Oversee full-cycle recruitment processes, from job posting to onboarding, ensuring a seamless and positive candidate experience.• Conduct regular performance evaluations and provide guidance on performance management best practices.• Lead employee relations efforts, including conflict resolution, disciplinary actions, and grievance handling, fostering a collaborative and respectful work environment.• Collaborate with senior leadership to develop and implement training and development programs aimed at enhancing employee skills and performance.• Manage compensation and benefits programs, ensuring competitiveness and compliance with regulations.• Drive diversity and inclusion initiatives to promote a diverse workforce and inclusive workplace culture.

• Set up & led 15 FTEs Payment operations team and ensured meeting SLA, delivering referable & reliable experience to the clients and all stakeholders• Leads the teams by providing goals and expectations of the business every year, represents the organization and management by delivering the key messages and helping teams to understand the goal association with organization vision• Drive and capture performance management activities using the talent management tool (Workday) and ensure that the right people are in the right roles for future growth and there are no failures in the team.• Hold regular meetings with teams to appreciate colleague’s efforts, review performance, discuss issues, share feedback, plan upcoming actions and discuss progress towards goals.• Drives rewards and recognition practices in the teams and promote the culture of recognition• Drives development activities in the team, identifying development needs and solutions in line with business needs• Ensure that operational processes and tools are consistent and documented• Ensure that the team is aware of and can respond to Risks & Compliance that may impact client, stakeholders and organization.• Act as an escalation point for all the stakeholders.• Manages Business Continuity and Disaster Recovery plans ensuring all activities and processes are completed and kept up to date• Dashboard preparation, monthly performance report & process review & process improvement discussion with internal & external stakeholders

MF Trade Corrections • Led 6 FTEs MF Trade Corrections team, one of the most critical process clearing &settlement• Team does the correction of the MF trades on the bases of Minimum market exposure coming from Portfolio managers, Advisor & Compliance team• Handling advisors escalation, ensuring all the process documentation are updated, and secured• Hold regular meetings with teams to review performance, discuss issues, share feedback, discuss progress towards given goals and appreciate colleague’s efforts• Regular discussion with stakeholders to streamline the pain area of the process• Conducting quarterly BCP and analyzing & finding solution for any risk associated with the process

MF Trade Corrections, MF Operations, Clearing & Settlement, WINS, Ops Reconciliation, Lean Six Sigma • Providing coaching & grooming to the new hires, preparing process documentation and updatnig it on quarterly basis• Handling all escalations of the customers and other stakeholders, providing floor support • Finding process opportunity, converting to lean ideas and providing solution• Reconciling the account of internal department & transferring the discrepancies to concern department • Preparing dashboard & conducting meeting with business partners

MF Trade Corrections/Mutual Fund Operations/Clearing & Settlement/Wire Inst/Ops Recon• Correcting the MF trades on the bases of Minimum market exposure coming from Portfolio managers, Advisor & Compliance team• Placing the MF trades on Beta Thomson Reuters software of different fund families• Adjusting the dividend in the client account on periodic & accrual basis• Providing the Gain/loss to appropriate department after placing the correct MF trades• Updating the client account for the inappropriate CDSC fees charged in it• Maintaining & tracking the records of mutual funds transferring from different brokerage firm

• Lead Employee Background Verification team• Assisted in recruitment efforts, including sourcing candidates, conducting interviews, and facilitating the hiring process.• Managed employee onboarding and orientation programs, ensuring a smooth transition for new hires. • Handled employee inquiries regarding HR policies, benefits, and payroll.• Maintained HR records and databases, ensuring accuracy and confidentiality.• Assisted in the development and implementation of HR policies and procedures.

Retail Banking/Investment Banking, MF Rejects, Wells Fargo• Live mutual fund back hand trading, doing analysis of the rejection of trades, processing good trades, direct interaction with world 100 premier Blue chip fund companies and fortune 500 companies and NSCC to sort out the issues related with trades.• Processing other MF investment products LOAD, PI and PIPS.Retail Banking, Wachovia• Handling customer query related with any unauthorized transaction to the account• Investigating unauthorized & excessive charges to the customer’s account and execute refund/waiver• Understand any dispute or concern raised from the customer and provide the right resolution