Purav Gudhka

Authorised Person of IIFL (registered stock broker)

• Facilitated KYC completion and account openings for new investors, ensuring smooth onboarding process.
• Advised HNI clients on equity and derivatives portfolio management to enhance portfolio returns which also included various options strategies.
• Delivered timely support for customer queries, technical assistance, and market information, enhancing client satisfaction.
• Maintained strict compliance with regulatory requirements and financial restrictions for authorized person role.

Mutual fund distribution:

• Assessed client risk profile and financial goals to suggest suitable mutual fund schemes.
• Supported client onboarding and transaction processing.
• Reviewed client mutual fund portfolios regularly and provided ongoing service support.

Senior Manager – Internal Audit (Market Risk and Capital Planning)

• Delivered end-to-end audit coverage for Global and EMEA market risk through planning, testing, reporting, and closure verification.
• Produced audit reports, guided control testing, and completed closure verification of audit observations adhering to audit methodology and quality standards.
• Completed internal audits of regulatory reporting controls across CCAR, ICAAP, PRA, and Basel obligations.
• Led internal audit for data quality controls in risk management processes, macroeconomic stress testing, back-testing of stress scenarios, risk identification, and adequacy of VAR and exposure limit frameworks by assessing completeness, accuracy, and timeliness of existing controls and identifying gaps.
• Continuous monitoring of data quality and regulatory reporting controls for firm market risk and providing quarterly updates on inherent risk and control environment to the global head of risk audit.

• Facilitated stress testing for trading book investments to assess risk exposure.
• Performed risk factor-based stress testing in line with ICAAP requirements for the Bank.
• Conducted bottom-up stress testing as per RBI guidelines.
• Executed scenario-based stress testing.
• Developed scenarios for risk factor-based stress testing under ICCAP to enhance regulatory compliance.
• Executed back-testing of stress testing scenarios to validate their effectiveness.
• Presented stress test results for group companies to ALCO and the Risk Committee of the Bank.
• Updated margining policies for the Bank, clarifying margin triggers and monitoring methods for funding against structured products.
• Developed valuation models for investments across fixed income, money market instruments, floating-rate securities, pass-through certificates (PTCs) and preference shares.

• Advised HNI clients on equity and derivatives portfolio management to enhance investment returns.
• Assisted in portfolio and risk management to align client objectives with market conditions.
• Reviewed and optimized client portfolios to ensure alignment with investment goals and market trends.