Experience

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  Plan Ahead Wealth Advisors Pvt Ltd - Add meaning to your finances. Add time to your life™

  • Mumbai Area, India

  • Compliance Officer

    • Jun 2013 - Present
    • Mumbai Area, India

    “Looking after compliance pertaining to SEBI Investment Advisers Regulation (RIA), AMFI and Mutual Fund Compliance” • Setting up processes as per SEBI guidelines for meeting compliance requirements, preparing compliance reports for the management and presentations for employee guidelines from time to time.• Checking, completing & maintaining compliance documentation for each and every client.• Handling Audit (Internal & External)• Handled Due diligence audit• Data management and website data updating as per the compliance requirements. • Maintaining the Portfolio Disclosure for company and employees every quarter and updating the same on the company’s website.• Handling clients grievance and checking grievance portals • Keeping team members updated on compliance guidelines by regularly checking SEBI, AMFI and other compliance related circulars • Dealing with customer enquiries in-person, over the phone or via email; contacting prospective customers and discussing their requirements.• Functioning with customer service operations, ensuring customer delight by achieving delivery & quality service in the least possible time.• Management and upkeep of technology and client servicing software.• Reconciliation of brokerages received from various fund houses. • Conducting maintenance and management of the company database.• Maintaining and updating the database with the investor’s investment data every week so that the client can go through their portfolio through the company’s website.

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  IL&FS SECURITIES SERVICES LIMITED

  • Mumbai Area, India

  • Compliance Executive

    • Dec 2010 - Jan 2013
    • Mumbai Area, India

    • Processing of account opening – Equity, Currency, Commodity, SLB Clients.• Resolving discrepancies related to account opening. • Ensuring account openings are within the set TATs.• Client creation within internal system on activation of all accounts. • Maintaining MIS for all accounts.• Balance confirmation & Debit Note preparation.• Audit (Internal & External).• Resolving audit queries within the prescribe TATs. • Compliance reporting.