Rohit More

Dynamic Senior Operation Executive with extensive experience at Plan Ahead Wealth Advisors Pvt Ltd, Results-driven Operations & Data Management with expertise in Experienced Investment Operations and Wealth Management professional with expertise in portfolio reconciliation, financial data management, client onboarding support, and investment operations. Skilled in managing Mutual Funds, Equity Shares, International Investments, Fixed Deposits, and insurance-related processes. Proficient in conducting CAS reconciliation, AUM analysis, portfolio data validation, corporate action processing, and investment reporting.

Demonstrated ability to maintain high levels of data accuracy, regulatory compliance, operational efficiency, and client service excellence while coordinating with internal and external stakeholders.

Senior Operation Executive - Plan Ahead Wealth Advisors Pvt Ltd - Mumbai, India

(2025-12 - 2026-07)

Operations & Data Management

• Managed cash transaction reporting operations, ensuring timely processing, accurate financial data updates, and adherence to internal controls and compliance requirements.
• Verified, validated, and processed new client account login credentials, supporting seamless client onboarding and operational efficiency.
• Conducted Monthly and Quarterly Consolidated Account Statement (CAS) reviews and client follow-ups, ensuring accurate portfolio reporting and timely communication.
• Coordinated SIP, STP, SWP, Fixed Deposit (FD), and insurance renewal activities, improving client retention, engagement, and service delivery standards
• Performed comprehensive CAS reconciliation across Mutual Funds, Equity Holdings, International Investments, and other financial assets to maintain portfolio accuracy.
• Executed monthly reconciliation of Non-PAWA Mutual Fund folios and conducted periodic shareholding data validation in accordance with business and regulatory guidelines.
• Monitored Fixed Deposit maturity schedules for financial institutions including HDFC, Shriram Finance, Mahindra Finance, and Bajaj Finance, ensuring proactive renewal tracking and client servicing.
• Investigated and resolved folio discrepancy and "folio not found" cases by coordinating with internal teams, registrars, and external stakeholders.
• Performed monthly portfolio updates and reconciliation, ensuring accuracy and completeness of client investment records.
• Processed and tracked corporate actions, including bonus issues, dividend payouts, and interest credit updates across client portfolios.
• Executed weekly portfolio data maintenance activities, ensuring accurate investment records and timely portfolio reporting.
• Conducted Assets Under Management (AUM) variance analysis, identified discrepancies, and performed reconciliation to ensure data accuracy.
• Maintained high standards of operational excellence, focusing on data accuracy, portfolio reconciliation, compliance adherence, risk mitigation, and process efficiency.

Assistant Manager - P L CAPITAL (Prabhudas Lilladhar Pvt. Ltd) - Mumbai, India

(2024-02 - 2025-11)

Operations & Client Onboarding

• Managed IFA empanelment, KYC verification, and client onboarding across Wealth Spectrum, Investwell, BSE STAR MF, NSE MF II (Non-Demat), and NSE MFSS (Demat) platforms
• Executed daily uploads of NAV files, Scheme Master (Vidal & Value Research), and RTA data; ensured seamless integration into core systems
• Performed AUM reconciliation and maintained data integrity across fund units and client portfolios
• Placed mutual fund transactions on behalf of clients for both demat and non-demat modes, ensuring accuracy and compliance
• Monitored mutual fund data uploads and coordinated with vendors for transaction-related queries and system issues
• Raised and followed up on queries with NSE, BSE, CAMS, Karvy, and RTAs regarding transaction discrepancies and data mismatches
• Coordinated with CVL and CAMS KRA for KYC registration, validation status, and compliance tracking
• Prepared MIS and income reports on a daily, weekly, and monthly basis for internal review and audit readiness
• Handled submission of forms, redemption requests, and stationery requirements for branches and sub-brokers
• Tracked performance of schemes via ACE MF NXT application and supported product research and development through data analysis
• Analyzed client portfolios, shared investment suggestions, and restructured holdings based on performance and suitability
• Interpreted mutual fund data to formulate actionable reports for management and product teams
• Call and maintian Brokerage structure rate card and co ordinate with AMC Quterly basis.
• Coached new employees, ensuring smooth onboarding and faster adaptation to mutual fund processes and platforms
• Facilitated team-building activities to enhance collaboration, morale, and operational efficiency
• Led weekly team meetings to review goals, track performance, and drive continuous improvement initiatives

Senior Operations Executive (Mutual Fund) HO - 5Paisa Capital Limited - Mumbai, India

(2023-04 - 2024-01)

• Uploaded NAV, Scheme Master File, and RTA data into the system on a daily basis for accurate fund tracking.
• Sent bank transaction files to ICCL (Clearing Corporation) on T–2 basis to ensure timely settlement.
• Reconciled SIP bank transaction files on T+2 basis daily to maintain transaction integrity.
• Executed daily redemption PAYIN process post market hours, ensuring compliance with settlement timelines.
• Approved bond transactions and coordinated with the DP (Demat) team for timely settlement.
• Responded to KYC and DP team requests regarding account closures and shifting activities on a daily basis.
• Downloaded EOD files (Allotment, Redemption, Order Status) from BSE and uploaded into the system on T–1 basis.
• Performed monthly AUM reconciliation as per RTA records (CAMS/Karvy) to ensure data accuracy.
• Conducted monthly brokerage reconciliation AMC-wise and RTA-wise to validate commission payouts.
• Raised, tracked, and resolved client queries with BSE promptly to maintain service standards.
• Published updates on upcoming Main Board and SME IPOs using NSE and IPO login admin portal.
• Shared daily IPO, Allotment, and Redemption MIS reports and tracked transaction status using base MIS.
• Improved customer satisfaction through effective communication channels and timely issue resolution.
• Fostered strong stakeholder relationships through consistent engagement, collaboration, and transparent communication
• RMS Invocation and square off process
• Redemption Amt Credit to Client Ledger
• Processing of Revised Redemption Payout failures from BSE End
• Orders Status and Allotment Statement of NFOs from BSE STAR MF to be Uploaded in SIP Surveillance
• TASK Resolution

Back Office Executive OPS - Mahindra Finance (FPD / Digital Finance department) - Mumbai, India

(2017-01 - 2023-03)

• Trigger Mutual Fund Investment Tracker and Recommended Scheme Report to all MAHINDRA GROUP company and Employees for Investment Purposes
• Tracking the Performance of Mutual Fund Scheme Asset management company wise on daily basis
• Drafting Mahindra Newsletters of ECONOMICS TIMES in PPT Format and sending it to MMFSL associates.
• Call and upload mention RTA reports from respective registrar(CAMS/KARVY) in system on daily basis
• 1) Client wise transaction (WBR2/MFSD201)
• 2) Investor master report (WBR9/MFSD211)
• 3) Sip register reports (WBR49/MFSD243)
• 4) Sip cancelled reports (WBR50/MFSD231)
• Find out suspense client data from the system and map to respective Relationship Manager on basis of EUIN and location
• Reconcile Mutual fund data Asset Management company or Registrar Wise Monthly, weekly and daily
• Prepared Mutual fund contest State, Zone, branch, location wise Mis and share with Team
• Share report logic with Data Science team and vendor ops team
• Excellent knowledge of NSE Mutual Fund Platform and BSE MF Star and
• Below Mention activity done on Daily basis
• Carried out day-to-day duties accurately and efficiently.
• Participated in continuous improvement by generating suggestions, engaging in problem-solving activities to support teamwork.
• Resolved problems, improved operations and provided exceptional service.
• Onboarded new temps by entering employee information into systems.

Office Assistance - Mahindra Finance (Mutual fund distributors department) - Mumbai, India

(2013-01 - 2016-12)

• Advised and Distribute mutual fund scheme to client or Mahindra employee and other client
• Fill Mutual fund application forms of all AMC on daily basis
• Check KYC status of client and complete the documentation formality of KYC as per requirement
• Check mutual fund application and KYC of offline application form which are received from Relationship manager
• Submit the Mutual fund application to respective registrar on daily basis before 3pm
• Prepared mutual fund MIS on daily basis at end of the day
• Track transaction status and co-ordinate with respective AMC
• Provide client service and Share mutual fund report and statement of account
• Analyze the portfolio of client and suggest the recommended scheme to build strongest portfolio

Office Assistance - Mahindra Finance (Insource–Fixed Deposit department) - Mumbai, India

(2010-10 - 2012-12)

• Track and Maintain daily basis entry of FD application form which received through courier in register
• Handling fixed deposits forms and entry in system
• Checking KYC documents of online and offline fixed deposits application form
• Co-ordinate with Broker and direct client of company for pending KYC document
• File store and track fixed deposit application form
• Printing renewal form of Fixed deposit
• Assist branches, investors & brokers for their queries of 15 G/H for TDS

Bachelor of Commerce - B.Com - Dr. Ambedkar College of Commerce And Economics - Wadala (2011-04 - 2012-01)