Dushyant Kumar

• Client Onboarding Customer screening.• Sanctions, PEP’s & Prohibition Customer screening and KYC.• Understanding the business and clear knowledge of the roles and responsibilities as a BA2.• Interact with the Ops team to ensure consistent understanding of concepts & procedures.• Responsible for smooth functioning of Level 3 Real-Time/Trade screening as per the SLA.• Control Money Laundering through Research and Development.• Mentoring of new advisor and cross training them on Real-Time/Trade, New and existing customer screening as and when required.• Handling clients request for Transfer Agency, Annual Meeting Service, Investment plan services, abandoned property services.• Issuance/Correction of Tax documents like, 1099Div, 1099B etc. As per the shareholders requirement.• Processing W9 & W8-Ben certification requests. SSN (Social Security Number) or TIN (Taxpayer Identification Number) certification.• Rendering service like Dividend distribution, EFT/ACH, Reverse ACH etc.• Handling account maintenance, re-registration process of shares & stocks, Issuance, sales, purchase transaction of stocks/shares.• Verification and approval of documents like, POA (Power of Attorney), Legal court appointment documents as per the state and federal government guidelines.