Pramod C N

1.Reconciliation to handle various exceptions like Trade Exception, Transfer Exception, Income Exception, and Corporate Exception.

2.Parameter settings within the Surpass system. Review settings for the various transaction codes, trade date versus settlement date functionality and start dates of accruals for business days versus calendar days.

3. Review all dividend related breaks in the accrual and omni share breaks to ensure breaks are within the standard tolerance.

4. Reconcile a high volume of differences timely and accurately.

5. Preparation of weekly, monthly and client reports detailing reconciling items, anticipated resolution and age of reconciling items.

6. Research and review in MFD and T3K, different websites like DST, Surpass, Advisor Central, Vanguard.

7. React to reconciliation discrepancies as advised by SEI to investigate and resolve the issues and take appropriate action.

2017 - 2019 Client: LPL Financial Project: 2

• Trade order creation and execution

• Post trade processing and resolving trade settlement issues in a timely manner

• Good knowledge on Trade life cycle and settlements

• Trade bookings & handling Corrections of various clients.

• Allocating jobs and workloads to individual staff members based on their ability.

• Implementing new initiatives and making sure all staff understand them.

• Giving prompt and accurate information on individual staff member performance.

• Making sure all tasks given to staff are done on time and to the required standard.

• Ensuring a clean, safe and friendly working environment for all team members.

• Always willing to step in and help out work colleagues who are struggling

• Preparing and sending Daily, weekly & monthly reports to clients

• Calibration calls with onshore Qc team on weekly basis

• Organized training workshops to improve the performance of the members who were lagging behind in terms of performance.

• Sharing new updates to the team and clarify the doubts arise.

• Providing feedback on errors made on daily basis & cross train

• QC orders processed by the team member’s

• Creating & updating SOPS, OE (operational excellence) for the process and driving it to the team

2013 - 2017 Client: Charles Schwab Project: 1

• Process Various Purchase for securities daily basis on the OTC request.

• Performing quality checks for the processing done by the team members along the guidelines set by the onshore client team.

• Quality Analysis & calibration with the onshore QC team.

• Sharing updates & processing procedures with the team

• Maintaining daily and weekly reports.

• Error Trending & feedbacks.