Summary
Overview
Work History
Education
Skills
Accomplishments
Certification
Languages
Timeline
Generic

NIKI GUPTA

MUMBAI

Summary

Committed job seeker with a history of meeting company needs with consistent and organized practices. Skilled in working under pressure and adapting to new situations and challenges to best enhance the organizational brand. Adaptable professional with a quick-learning ability and a talent for adjusting to new environments. Skilled in rapidly acquiring new knowledge and applying it effectively. Driven by a passion for continuous learning and successfully navigating change.

Overview

4
4
years of professional experience
1
1
Certification

Work History

Capital Markets Services Associate

Accenture
Mumbai
10.2024 - Current
  • Conduct a comprehensive analysis of current processes, and identify areas for improvement.
  • TAS-CASH requests to move funds within trust accounts, which include all incoming deposits and outgoing payments.
  • Wire receipts and wire disbursements, i.e. Incoming wires and outgoing wires.
  • ACH's, checks, account-to-account/portfolio transfers, and all adjustments processing for cash, i.e. Ach recalls and rejects, cash reversals, and stop check payments. Due diligence about documents like ALE, authorized signer, standing order, and third-party documents.
  • Identify risks and issues, develop mitigation strategies, and ensure resolution in a timely manner.
  • Making transfers: Moving money between accounts.
  • Monitoring: Keeping an eye on deposits and payments. Following controls: Adhering to the company's internal controls.
  • Cash handling expertise: Using tools and strategies to cover financial obligations, avoid excessive debt, and use cash resources for growth.
  • Managing risks: Managing risks that could threaten cash flow.
  • Maintaining records: Keeping detailed records of findings, outcomes, and transaction reviews.
  • Maintaining records: Keeping detailed records of findings, outcomes, and transaction reviews.
  • Staying up to date: Keeping informed of industry best practices, regulatory changes, and emerging trends.
  • Escalating suspicious activity: Reporting suspicious transactions or activities to the appropriate internal teams.
  • Verifying transaction details and resolving issues.

Relationship Manager

ICICI Prudential AMC Ltd.
Mumbai
02.2023 - 09.2024
  • To profile the customers and facilitate access to ICICI AMC's products as per customer needs to provide financial planning and investment advice.
  • Generating revenue and meeting targets before deadlines given by a team manager.
  • Giving a resolution to the customers or clients for their queries.
  • Analyzing the financial ledger, capital gains, and profit and loss statements for the verification of transactions.
  • Monitoring the performance of all mutual fund schemes for customers so that non-performing funds can be replaced by performing ones.

Relationship Manager

HDFC SECURITIES
Mumbai
12.2021 - 01.2023
  • Key portfolio management of HNI customers of HDFC Securities.
  • Monitoring trades placed by customers and tracking them so that customers can be informed once a profit is made.
  • Analyzing the financial ledger, capital gains, and profit and loss statements for the verification of trades executed.
  • To profile the customers and facilitate access to HDFC Securities products as per the customers' needs to provide financial planning and investment advice.
  • Monitoring the performance of all mutual fund schemes and equity shares of customers so that non-performing funds can be replaced by performing ones.
  • Educate the customers about equity, debt, derivatives, mutual funds, and different fixed income products and investments.

Education

PGDM IN FINANCE - Finance

WELINGKAR INSTITUTE OF MANAGEMENT
Mumbai
04-2025

Bachelor of Commerce -

SK SOMAIYA COLLEGE
Mumbai
05-2019

HSC -

SHIVNER JUNIOR COLLEGE
Mumbai
05-2016

SSC -

HINDI BAL VIDYA MANDIR
Mumbai
05-2014

Skills

  • Investment strategy
  • Risk assessment
  • Client relationship management
  • Regulatory compliance
  • Data analysis
  • Portfolio Management
  • Mutual Fund
  • MS Excel
  • MS Word
  • Time management
  • Transaction processing
  • Workflow management

Accomplishments

  • Start of the month in the months of January and March

Certification

  • NISM Series V - Mutual Fund Distributors Certification Examination from the National Institute of Securities Markets
  • NISM Series VIII: Equity Derivatives Certification Examination from the National Institute of Securities Markets
  • NISM Series XXI (A) - Portfolio Management Services (PMS) Distributors Certification Examination from the National Institute of Securities Markets
  • NISM Series XV: Research Analyst Certification Examination from the National Institute of Securities Markets
  • Certificate of appreciation in sovereign gold bonds (SGB)
  • Certificate of appreciation from Niva Bupa Health Insurance
  • Certificate of appreciation in the Kotak Business Cycle Fund
  • Certificate of appreciation in HDFC Business Cycle Fund

Languages

Hindi, English, Marathi
First Language

Timeline

Capital Markets Services Associate

Accenture
10.2024 - Current

Relationship Manager

ICICI Prudential AMC Ltd.
02.2023 - 09.2024

Relationship Manager

HDFC SECURITIES
12.2021 - 01.2023

PGDM IN FINANCE - Finance

WELINGKAR INSTITUTE OF MANAGEMENT

Bachelor of Commerce -

SK SOMAIYA COLLEGE

HSC -

SHIVNER JUNIOR COLLEGE

SSC -

HINDI BAL VIDYA MANDIR

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