Aug 2020 – Jun 2021 · 10 mos · Mumbai, Maharashtra, India

• Managing the key relationship with Ultra HNI clients with an AUM of 100 Crs. to provide holistic wealth management expertise
• Guiding a team of Managers on business line Operating Procedures and execute delegated accountabilities in accordance with business expectations
• Evaluating practical applicability of Company policies to trading and sales activities in coordination with Compliance or relevant Risk and Control teams
• Lead on prevailing Markets regulatory initiatives; participate in business initiatives to conduct supervision operational readiness assessments
• Develop & manage the relationship with regulators to ensure communications are open and constructive
• Help identify new business opportunities and originate new client relationships with a strategic and long-term view
• Guiding support to the team by servicing client requests, working closely with trading and structuring on a wide array of derivative and custom solutions
• Expertise in determining & documenting enterprise-wide Risk Management Procedures for an organization and identifying Key Controls points
• Outstanding instructional, interpersonal, and business/ communication skills with the experience required to remain highly focused on achieving bottom-line results while formulating advanced business/marketing solutions

Aug 2018 – Aug 2020 · 2 yrs · Mumbai, Maharashtra, India

• Expertise assistance in Wealth Management process from sales to customer service with extensive knowledge in financial planning, investment analysis, and business development
• Broader knowledge in investment vehicles, equities, structured products, foreign exchanges, and derivatives
• Promoted complex financial products to customers through high-level presentations
• Established strong work relationships with Top management and other control groups viz: compliance, legal, etc
• Collaborated with the team in early identification of emerging control issues and timely reporting to Audit management and business stakeholders
• Extensive involvement with internal partners (Bankers, Investors, Capital Advisors) and private clients to deliver the best fully secured credit product solution with a sound credit structure

Nov 2017 – Feb 2018 · 3 mos · Mumbai Area, India

• Developed profitable and productive business relationships resulting in multi-fold revenue for the company in Wealth and Portfolio Management. Headed a sales team for Research & Ranking.com – a personalized portfolio advisory service
• Increased in team size from 4 to 20 resulted in revenue ramp up from an average of Rs. 6 lac per month to Rs. 1 Cr
• Represented at prestigious events conducted by FICCI, Association of Wealth management & Mutual fund industry events, etc
• Acquired HNI & UNHI clients for long term investments and encouraged them to invest the AUM up to 3 years
• Initiated a variety of skill-based training to raise awareness on market trends & risk factors and competitors performance
• Collaborated with Marketing teams to uphold Brand and to offer new products & pricing to existing & prospective customers
• Evaluated existing systems & procedures and designed internal control tools to achieve higher operational efficiency
• Consistently remained on the cutting-edge and driven new business by establishing key accounts and partner relationships

Jun 2011 – May 2017 · 5 yrs 11 mos · Mumbai, Maharashtra, India

• Built a core team to develop investment/management structures and established fund administration processes
• Steered business growth by providing total Investment solutions to HNI+ and Corporate clients
• Expertise in determining & documenting enterprise-wide Risk Management Procedures and identifying Key Controls points
• Developed and managed profitable business partners from competitor vendors
• Organized marketing programs/activities for generating higher revenue through existing & cross-selling of products
• Prepared and analyzed high visibility MIS reports for evaluation of performance
• Reviewed customer’s financial needs and recommend appropriate solutions to help achieve goals
• Evaluated target markets & investment opportunities while negotiating deals with prospective marketing & strategic partners

Oct 2008 – Nov 2009 · 1 yr 1 mo · Mumbai Area, India

• Maintained a service excellence culture within the organization. Identified opportunities to improve productivity, efficiency and ensuring the company’s policies, procedures, and compliance requirements complied with service quality norms.
• Deftly handled client needs & formulated tailored investments. Constantly monitored client portfolio with appropriate market switching and recommended appropriate short-term & long-term investment solutions
• Appraised the targeted customers on various products & services of the organization, thus maximized wealth creation/ revenue for the organization. Involved in developing and maintaining relationship with the existing privileged customers.
• Managed business operations with a key focus for increasing revenues for the client as well as for the organization while identifying new business opportunities.
• Developed and maintained a healthy and cooperative working environment within the organization by assisting and coordinating with others from time to time to ensure the smooth flow of banking operations.
• Facilitated a team approach to achieve organizational objectives, increased productivity & developed employee morale.

May 2006 – Sep 2008 · 2 yrs 4 mos · Mumbai Area, India

Dec 2003 – Mar 2006 · 2 yrs 3 mos · Mumbai Area, India

Apr 2001 – Nov 2003 · 2 yrs 7 mos · Mumbai Area, India

Jan 2000 – Feb 2001 · 1 yr 1 mo · Mumbai Area, India