Ashish Kumar Goel
DELHI,DELHI
Summary
Seasoned financial services professional with20+ years of expertise in equities, mutual funds, bonds, and wealth management. Proven leadership in team management, risk assessment, compliance, and business development. Skilled in fostering client relationships, driving process optimization, and delivering data-driven insights for strategic growth.
Overview
22
22
years of professional experience
1
1
Certification
Work History
AVP, Broking and Wealth Management
Elite Wealth Ltd.
07.2018 - Current
- Currently leading team of17 professionals, including Branch Managers, Financial Advisors, and Equity Dealers, to drive business growth in Equities, Mutual Funds, Bonds, and other wealth management products
- Skilled in team leadership, client acquisition, and expanding investment portfolios, with focus on delivering tailored financial solutions and achieving organizational revenue targets
- Oversee and manage mutual fund corpus of ₹80 crore, ensuring optimal asset allocation and risk management
- Develop strategies to enhance portfolio performance while aligning with the fund's objectives and risk appetite
- Monitor market trends and adjust the portfolio to capitalize on opportunities and mitigate risks
- Build and maintain strong relationships with key clients and stakeholders
- Collaborated with team members to strategize and optimize client acquisition efforts, resulting in significant growth of Assets under Management (AUM)
- Responsible to promote new products by exchanges and provide training
- Implemented procedures to enhance client engagement and satisfaction, leading to improved client relationships
- Strengthened compliance processes to ensure smooth operations and minimize risks
- Monitor market trends to identify profitable opportunities and advise clients accordingly
Senior Manager Broking
Elite Wealth Ltd.
05.2015 - 06.2018
- Spearheaded broking business operations, driving revenue growth through equities, derivatives, and wealth products
- Managed client acquisition strategies, targeting high-net-worth individuals and corporate clients
- Fostered strong relationships with clients to ensure satisfaction and long-term retention
- Addressed client queries promptly and provided tailored investment advice to meet their financial goals
- Supervised a team of Relationship Executives and Branch Managers to achieve business targets
- Provided training and mentorship to enhance team performance and product knowledge
Manager Operations
Elite Wealth Ltd.
04.2009 - 04.2015
- Oversaw daily operations across equity, derivatives, currency derivatives, and commodity trading desks
- Ensured seamless execution of trades and back-office functions to maintain high service standards
- Monitored trading activities to ensure compliance with regulatory guidelines and internal policies
- Managed client margin positions in line with exchange rules and organizational risk parameters
- Supervised margin funding processes to maintain liquidity and reduce default risks
- Prepared detailed MIS reports on trading volumes, revenue trends, and client performance
- Strengthened client position monitoring, ensuring balanced exposure and compliance adherence
Risk Management Head
Elite Wealth Ltd.
06.2006 - 03.2009
- Analyzed client positions and trading patterns to identify potential risk exposures
- Implemented strategies to mitigate risks associated with market volatility and margin defaults
- Controlled client margin positions across equity, commodity, and currency trading
- Ensured timely recovery of client payments and managed pay-in/pay-out processes with exchanges
- Adhered to NSE, BSE, and MCX regulatory requirements for risk management
- Conducted margin reporting and ensured compliance with all exchange guidelines
Deputy Manager, Risk Management
Elite Wealth Ltd.
02.2004 - 05.2006
- Managed client exposures in equity and derivatives trading, ensuring positions stayed within permissible risk limits
- Supervised high-volume and high-net-worth client accounts to ensure adherence to risk management policies
- Resolved client queries related to margin requirements and trading restrictions
- Prepared daily and weekly reports on client positions and margin requirements
- Prepared daily reports on client positions and regulatory compliance
Executive Assistant
Bonanza Portfolio Ltd.
03.2003 - 01.2004
- Coordinating with teams for seamless operation in both Depository and Derivatives segments.
- Trade settlements, holdings, or other issues in the Depository segment.
- Monitor client accounts daily for margin shortfalls.
- Generate detailed and summary MIS reports for management, highlighting margin shortfalls, follow-up status, and resolution timelines.
Education
Bachelor - Commerce
BSM PG College
RoorkeeMasters - Commerce
SM Jain College
HaridwarManagement Education Program -
Indian Institute of Management
Ahemdabad02.2008
Postgraduate Diploma - Finance
Institute of Productivity And Management
Modipuram03.2003
Skills
- Ability to lead, inspire, and manage high-performing teams
- Proficiency in CRM tools and data analytics
- Deep understanding of financial products, investment strategies, and wealth management principles
- Strong interpersonal and relationship-building skills with a focus on HNWIs
- Client-Centric Mind set
Accomplishments
- Successful Implementation of Lead Squared for Improvement in Sales processes and client engagement.
- Successfully expanded the derivative client base, driving a 60% increase in trading volume within12 months.
- Setting up the Insurance Business desk and creating impact in the team by acquiring the single life Insurance policy for premium of Rs.2.5 crore.
- Setting up an exclusive HNI desk for Derivatives Segment
- Implementing the processes which helps in increasing the Online Business to 48% of the Total Business.
- NPS Empanelment with listed Corporate PPAP Automotive.
- Spearheaded a corporate activity initiative to acquire130+ clients in CONCOR and52+ clients in HUDCO, leveraging tailored financial solutions and consultative selling techniques.
Certification
NISM Series-VIII (Equity and Derivatives)National Institute of Securities MarketsDecember2022
Timeline
AVP, Broking and Wealth Management
Elite Wealth Ltd.
07.2018 - Current
Senior Manager Broking
Elite Wealth Ltd.
05.2015 - 06.2018
Manager Operations
Elite Wealth Ltd.
04.2009 - 04.2015
Risk Management Head
Elite Wealth Ltd.
06.2006 - 03.2009
Deputy Manager, Risk Management
Elite Wealth Ltd.
02.2004 - 05.2006
Executive Assistant
Bonanza Portfolio Ltd.
03.2003 - 01.2004
Bachelor - Commerce
BSM PG College
Masters - Commerce
SM Jain College
Management Education Program -
Indian Institute of Management
Postgraduate Diploma - Finance
Institute of Productivity And Management
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