Manager Vice President

PURVI MODI-PATEL

** ******* **** • Old Bridge, NJ 08857

Cell: 732-***-**** • E-mail: **************@*****.***

SUMMARY

Versatile Senior Client Relationship Manager with 13+ years of experience in brokerage, soft dollar/CSA and

commission recapture. Recognized with possessing an unwavering commitment to developing strong client

relationships and an exceptional ability in resolving complex issues.

LICENSES

FINRA/NASD Series 7, 63 & 24

PROFESSIONAL EXPERIENCE

Knight Capital Americas, LLC, Jersey City, NJ 06/2008 – 04/2013

Assistant Vice President, Commission Management

• Manage relationships with over 250 asset managers &15 Global Trading Brokers for the Commission Recapture

and Soft Dollar Programs

• Department lead on providing specifications and requirements for the Aggregation System and enhancements to

the Commission Management System (CMS)

• Develop relationships with traders, soft dollar participants, and directed commission administrators for new and

existing asset managers

• Execute strong analytical and assessment skills to troubleshoot and resolve a diverse range of client matters

• Validate daily compliance checks on eligibility of Knight executed trades for the soft dollar program

• Assist senior manager with internal and external audit requests

• Interact with vendors to obtain information to pay invoices for soft dollars

• Verify eligibility of and submit payments for 28(e) invoices for the Soft Dollar/CSA program

• Reconcile trades for month, quarter, and year end for domestic and international equities

• Accountable for training new members of the team

• Presenting Knight products and services to clients utilizing WebEx

BNY ConvergEx, New York, NY 03/2001 – 06/2008

Vice President, Global Reconciliation Services

• Responsible for supervising relations between all of the global correspondent brokers and LJR

• Actively managed relationships with over 300 asset managers and 10 global correspondent brokers

• Processed and researched an average of $2 million USD in commissions on a monthly basis in internally

developed systems

• Developed a process using basic macros to reconcile trades enhancing accuracy and timeliness

• Conducted meetings with brokers and asset managers to review their accounts, products and services offered by

BNY ConvergEx

• Completed month, quarter and year end reconciliations for domestic and international equities

• Generated ad-hoc reports such as broker commissions and trade detail summaries for client and senior

management depending on business needs

• Procured, researched and analyzed data to identify out of balance accounts and reconcile with correspondent

brokers or internal trading desk and soft dollar department

Datek Online Brokerage Services, Edison, NJ 05/2000 – 03/2001

Investor Relations Specialist

• Resolved investor issues via e-mail and telephone based contact.

• Liquidated positions in investors’ margin accounts to meet margin calls in accordance with Regulation T.

EDUCATION

Rutgers College, Rutgers University – New Brunswick, NJ 05/2000

BA – Economics with a concentration in Accounting and Sociology

LANGUAGES

English, Gujrati, Hindi & French

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