Rohit Pitale

Primary Responsibilities:

• RTA Coordination: Coordination for activities related to the Registrar and Transfer Agent (RTA) to ensure seamless operations and adherence to regulatory requirements.
• Brokerage Management: Oversee brokerage activities, including the payment of commissions to HDFC Mutual Fund distributors, ensuring accuracy and timeliness.
• Commission-Related Reporting: Provide comprehensive commission-related Management Information System (MIS) reports to internal teams, facilitating informed decision-making.
• Process Improvement Analysis: Conduct thorough analyses to identify opportunities for process enhancements and provide actionable insights for continuous improvement.
• Query Management: Coordinate with investor service centers across PAN India to address and resolve brokerage-related escalations and queries efficiently.
• Audit Coordination: Collaborate with both external and internal auditors to ensure full compliance with regulatory guidelines.

Secondary Responsibilities:

• Regulatory Communication Coordination: Serve as the point of contact for RTA-related regulatory communications, including Total Expense Ratio Changes, Risk-o-Meter Adjustments, and Portfolio Communication. Manage the dissemination of Risk-o-Meter changes to relevant stakeholders.
  

• Executed a diverse portfolio of financial products, including Direct Equity, Alternative Investment Funds (AIFs), Mutual Funds, Bonds, Debentures, and Unlisted Equity.
• Provided comprehensive financial services to High Net Worth Individuals (HNIs), ensuring tailored investment solutions and superior client satisfaction.
• Collaborated effectively with internal teams and external partners, maintaining strong relationships to enhance service delivery and operational efficiency.
• Oversaw smooth processing of financial transactions and ensured prompt resolution of client queries, upholding high standards of service excellence.

• Managed the processing of Mutual Fund applications via Scan, Fax, and Email, handling an average daily volume of over 200 transactions.
• Oversaw the daily handling of applications with an average value of ₹100 crores, ensuring accuracy and compliance.
• Ensured all applications adhered to KYC and FATCA requirements, aligning with the company's regulatory standards.
• Led a team of 3 members, ensuring timely and efficient responses to all inquiries and tasks.
• Reported daily inflows and outflows to the Fund Manager's team, contributing to informed decision-making and effective fund management.

• Awarded a certificate of excellence for outstanding performance upon completion of internship.
• Worked in a corporate relations sales role, focusing on building and maintaining strong corporate partnerships.
  
• Led corporate relationship management efforts, including designing and implementing marketing strategies for financial services.
• Identified and generated new business opportunities, significantly contributing to the company's revenue growth.