Shubham Gupta

Experience

• 

  GEPL CAPITAL Pvt ltd

  Jan 2013 - Jun 2013

  Summer Internship

  My Primary responsibility was to inform client about SIP Product & encourage them to Opt for SIP in Mutual Fund.

• 

  Aditya Birla Sun life Asset Management

  Nov 2013 - Aug 2018

  1) Identification, monitoring and controlling of market risk.2) Monitoring trades of mutual fund on day to day basis and reporting breach to stakeholder. 3) Monitoring the SEBI regulatory, internal policy and scheme offer documents limits. 4) Monitoring of issuer level limits as defined by analyst. 5) Monitoring of limit exception report on daily basis.6) Monitoring and tracking of annual, quarterly & financial covenant for structured deal. 7) Performing stress testing for schemes.8) Testing of new development before release to production 9) Drafting operational and supervisory procedural & updating regularly 10) Establishing relationships and working closely with internal desks, IT groups, investment team, operations and compliance.11) Creating passive breach trend analysis, tracking LAS and structured debt transaction.12) Ad hoc & investment committee report preparation Show less 1) Supporting investment & dealing team. Matching and settlement of transactions across Fixed Income, money market, equity, future &option, IRS, and G-sec.2) Pre matching & post matching of trades across numerous market platforms like F-trac, ICDM, NSCCL, OMGEO& STP Gate. 3) Handling daily volume of Rs 7000 Cr. & 400 average trades across all asset class. 4) Ensure correct valuation of securities as per internal and regulatory guidelines &tracking rating upgrade / downgrade of issuers.5) Establishing relationships and working closely with internal desks, IT groups, investment team, operations, compliance, custodian, fund accounting team, brokers & exchanges.6) Preparation of monthly MIS, vendor payment & reports to the stakeholders. 7) Masters Creation, proxy e-voting & Execution of corporate actions.8) Providing regulatory reports & audit related work. Show less

  • Risk Deputy Manager

    Dec 2016 - Aug 2018

  • Assistant Manager in Trade and Settlement Department

    Nov 2013 - Nov 2016
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  L&T Mutual Fund

  Aug 2018 - Apr 2022

  Risk Manager

  1) Identification, monitoring and controlling of market risk.2) Preparation of mutual fund schemes performance report, limit monitoring, risk ratios, attribution & liquidity analysis.3) Stress testing & concentration risk report of schemes.4) Investment Committee, Risk management Committee & Techno Committee meeting agenda preparation & presentation to SMT's.5) Analysis of equity and debt trades & presenting deviation's to SMT's.6) Policy formulation and review.7) Keeping track record of issuer limit, issuer rating downgrades & upgrades.8) Portfolio benchmark selection.9) Establishing relationships and working closely with internal desks, IT groups, investment team, operations and compliance. Show less

• 

  PPFAS ASSET MANAGEMENT PRIVATE LIMITED

  Apr 2022 - now

  Chief Risk Officer