Digvijay Shokeen

Team-Document Operations Process

Key Responsibilities

• It is a customer Centric process.
• We receive multiple forms for all the departments within (AWM) directly.
• We need to route the documents.
• Worked varied hours to meet seasonal and business needs.
• Kept detailed records of daily progress to identify and correct areas needing improvement.
• We use different tools for routing the documents to respective teams.
• On a monthly basis, we process approximately 1 to 1.5 lakh documents.

• .Team-L&FCS (Licensing and Field Compensation Services Process-Wholesaler Reimbursement Program
• Key Responsibilities
• Understanding of various types of financial Advisors available in the Ameriprise Financial Inc
• Responsible for ensuring that compensation is paid correctly to financial advisors.
• There are four FINRA(Financial Industry Regulation Authority) rules and one MSRB(Municipal Securities Rule- Making Board) rule that applied in this process.
• FINRA rules 5110,2310,2320,2341 and MSRB rule G-20.
• Responsible for auditing a reimbursement with the onshore teams.
• There are three types of audits we have to do every year because of FINRA rule 3110,such as Written Supervisory Procedure(WSP), Supervisory Unit control(SCU) and Office of Supervisory Jurisdiction (OSJ).

• Team-Residual Process
• Responsibilities
• Supports Residual Process with the document operation process.
• Residual money left over in the account needs to be settled before closing.