Customer Service Sales

Qasim Chaudhry

*** ****** ***., **, **, NY ***** - 646-***-**** - Email:

*****.********@*****.***

Profile Experienced professional with over ten years of successful

Summary: career in domestic and international banking . Well

experienced at interfacing with others at all levels to

ensure organizational goals are attained . Proactive

approach in resolving trading glitches and client inquires .

Possess excellent interpersonal, analytical, and

organizational skills . Outstanding within highly

competitive environments where leadership skills are the

keys to success . Focused, energetic and able to establish

rapport with clients . Elicit loyalty from superiors,

colleagues, and subordinates.

Skills: Operating Systems: Windows 9x/ 2000/ NT/ XP

Software & Hardware: Lotus Notes 4.6, MS Office 2000/XP,

Microsoft Outlook

Financial Applications/Proprietary Systems Trading

Applications: Nextgen, PICO, GWM, Quodd and Bloomberg

Terminal.

NASD Series 7 & Series 66.

Licence:

Experience: Registered Investment Advisor & Compliance Officer

March 11 - July 11 Jaism LLC, Englewood, NJ

Managed a book size of over $5 million.

Responsible for growing investment business with prime focus

on high Net worth Indian population.

Responsible for the quality and effectiveness of internal

controls and maintaining a strong firm compliance monitoring

program.

Reviewing compliance with the Company Code of Ethics,

including personal securities trading and reporting

programs.

Preparing, updating and distributing Form ADV as required by

the Advisers Act.

Developing and implementing compliance training and

education programs.

Registered Client Associate

July 08 - March 10 Merrill Lynch- Global Wealth Management,

New York, NY

Supported two advisory teams with six financial advisors and

over 700 MM in assets under management.

Supported independent financial advisor with 200MM in assets

under management (AUM).

Placed unsolicited securities orders in PICO for CDs,

Equities, Options, Preferred stocks, Hedge Funds and

Structured Investments.

Getting quotes for debt securities including Corporate,

Municipal and Government Bonds and placing orders after

client confirmation.

Resolved any trade errors including commission reversal,

margin restrictions and compliance approvals.

Performed excellent error free trading in highly stressed

trading environment.

Prepared monthly and quarterly account performance reports

and Investment proposals for existing and prospect clients.

Responsible for the preparing the Travel and Expense reports

for the team advisors.

Opened new retail and commercial accounts including Cash,

Margin, FX, Loan, NRC and Retirement accounts.

Serviced all account related inquiries and responsible for

all funds disbursement.

Worked as a liaison between clients, insurance companies and

internal mortgage department to ensure higher quality client

experience.

Compared illustrations for life insurance contracts,

scheduling medical appointments and delivering the policies

to clients.

Responsible for all pledged line of credits and performing

all monthly requirements.

Client Service Associate

June 07 - July 08 Citi Smith Barney - CITIGOLD, New York,

NY

Supported the sale and compliance of three Financial

Advisors with AUM of over 200 MM.

Responsible for the operational and compliance integrity of

over 3K household accounts.

Heavy Interface with clients by providing extraordinary

customer service to resolve new and outstanding customer

inquiries.

Worked with all internal compliance and trading desk to

ensure customer inquiry resolution.

Act as liaison between clients and banking representatives

to resolve all banking related services.

Responsible for funds transfer, transmittals, incoming and

outgoing correspondence, cashiering and placing certain

unsolicited trades under FA supervision.

Reconcile monthly revenue and expense reports for management

review.

Executive Sales Support

Mar 03 - May 07 Citicorp Investment Services, New York, NY

Worked as the sales assistant of 12 Registered

Representative.

Managed daily back office operations.

Responsible for the integrity of all customer files, RR

files and databases.

Investigation and resolution of client related trading

issues.

Banking and brokerage transaction execution and cashiering

duties.

Responsible for the monthly and quarterly expense reports

for US and Canada.

Worked as a Sales Manager for Non resident Indian accounts

and relation instruments.

Responsible for servicing all walk-in clients of Non-

resident Indian accounts.

Independently conducted open houses in the East coast area

(NY/NJ/MD/DC) to create brand awareness and generate a

captive pipeline of prospects.

Routine investigating and closing all customers'

complaints/service issues.

Sourced over 500 new account relationships in the New York

and New Jersey area

Processing business related expenses through P2P and

ensuring on time payments to the vendors.

Operations Associate

Jan 01 - Mar 03 Citibank N.A. - NRI Business, New York, NY

Responsible for zero defect transaction processing of daily

remittance of funds equaling to amounts of $1MM-$4MM.

Investigated customer complaints and channeled to the

appropriate service units.

Responsible for all outgoing marketing, promotional products

and official correspondence for CitiGold clients.

Responsible for generating a monthly sales analysis across

all regions in the United States.

Implemented key processed in the dispatch of all outgoing

correspondence to over 15,000 individual account holders.

Developed processes that helped reduce turn around time for

funds remittance overseas.

Investigating all in-executable customer correspondence.

Education: City College of New York, New York, NY

Bachelor of Science with concentration in finance (60 Hours

earned) 2002. Anticipating graduating by December 2013.

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