Ashwani Bisht

● Oversee team’s day to day activities including but not limited to Client On-boarding- Working with the project team for new Client/Product onboarding.

● Managing daily work allocation and training pack for new joiners. Providing training as well.

● Handling Client, Custodian and Broker escalation related to any issue and query.

● Worked over different project and process improvement & efficiency ideas.

● To lead and support firm level initiatives to ensure technology driven work environment, diversified work culture, boosted client experience and improvements in service delivery, process effectiveness & efficiency.

● To assist product and technology teams in development/testing of bespoke solutions and product enhancement ideas.

● Update KPI dashboard and present monthly performance KPI to Oversight.

● Analyzing gaps between clients and offshore teams, participating in discussion calls and fixing issues that arise due to knowledge gaps.

● Reviewing the existing procedures and suggest changes/amendments/improvements (if required), that may suit as a best practice to be followed as a part of transition.

● Preparing process flow charts.

● Conducting team meetings/huddles/individual meetings and providing feedback and suggesting necessary action steps for further improvement.

● Provide end solutions to the queries coming from Client, Agent and Third parties after research and investigation on client’s account.

● Reviewing daily executed Equity and Fixed Income trades queue for CTM matching, guiding team for exception cases. Liaising with FO & Counterparts for any discrepancy. Performing trade amendment for any discrepancy.

● Monitoring Equity and Fixed Income trade for settlement purpose, liaising with custody and counterparts in case of any discrepancy and escalation.

● Handling Buy-in trades

● Handling Placement and IPO trades.

● Ensuring all the different work tasks are completed on time before deadlines & as per SLA.

● Getting executed FX trade matched over CLS, netting the FX trade for settlement and monitoring settlement

● Manual Cash Payments

● Preparing and publishing incident reports for any internal and external errors for Client. Claim Handling and resolution.

● Highlighting and managing risk associated in the process. ● Reviewing Fail report for Equity, Fixed Income and FX.

● Quality check of the above mentioned transactions, reconcile the whole report and transactions and send it to the client.

● Processing Escalated Items to resolve shareholder queries according to Client’s Requirements and SLAs.

● Preparing Quality and Feedback Reports for Team members.

● Verifying all Manual Check Issuance Forms for the Team. ● Verifying all Manual Sales Form to sell shares for a future price. For that, analyzing the market trend for the price of shares to satisfy the request/levy.

● Providing Training to the new joiners.

● Analyzing various types of quality sheets sent by the verifiers to improve the performance of team members.

● Preparation of Training Programme for new joiners and team members as per the requirement. Conducting training/feedback sessions.

● Direct Interaction with US and Non US clients/company’s RM via email, call.

● Working into BFSI (Shareowner Services) for US based client Computershare Shareowner Services.

● Account maintenance as Transfer/Issuance/Sale/Purchase/DTC of shares (US Market).

● Tax reporting and backup withholding procedures, Levy processing, Reorganization job handling, Disbursement of funds. Research of Abandoned Properties and their Reporting.

● Working on multiple software applications i.e. Mobius, Mainframe, EWF, QAS, Itelecash, Content Manager, FII, Mobius and SIC etc. ● Review the US legal documents i.e. Power of Attorney, Blanket Bond, Legal Opinion, Waiver OF Probate, Letter of Administration, Trust Documents, Corporate Resolution and Court Appointments etc. Proxy, Corporate Action Events, Mergers & Acquisitions, Odd Lots. ● Dividend order processing, ACH and Reverse ACH set-ups and based investigations. Drafting various letters like PIN related issues, Online access, Payments Confirmations, Asset Verification, broker-dealer confirmations, account status, activity status and all.
● Maintaining Productivity & Quality Reports.

● Collecting Shareholders information of different overseas companies.

● Processing the data as per Client requirements.

● Maintaining 100% Quality & Achieving target.

● Verification of Cases done by DR Agents.

● Maintaining Productivity reports.

● Outbound Telemarketing calls to new and existing customers.

● Maintaining 100% Quality & Achieving target.