Rohit Gadge
Risk Associate
Navi Mumbai,Maharashtra
Summary
I am an approachable, motivated and confident Risk Associate with the ability to analyze and mitigate operational and financial risks. I have expert knowledge of implementing risk management frameworks that have enhanced business resilience and compliance.
Overview
8
8
years of professional experience
2
2
Certifications
Work History
Risk Associate
Axis Securities Ltd.
10.2023 - Current
- Role :- Timely execution of specified risk management processes. Timely, accurate preparation and publishing of relevant MIS for various Risk Management reporting. Primary level analysis and interpretation of reports, highlighting exceptions and follow up action taken. Development of system generated reports, developing new reports, MIS and Automation of MIS reports.
- Conduct analysis of Non-MTF ledger debit accounts to identify irregularities and ensure compliance with internal policies.
- Prepare (BOD) reports, including key risk indicators, portfolio valuations, profit and loss (P&L) statements, and other financial metrics.
- Execute intraday position square-offs in accordance with company risk management policies and trading guidelines.
- Analyze derivative margin shortfalls and perform manual square-offs after coordinating with respective branches and clients.
- Manage collateral allocation using NMASS via the NSE member portal as part of the end-of-day (BOD) processing.
- Execute trades through NEAT (NSE) and BOLT (BSE) terminals in accordance with client and company instructions.
- Download and update Additional Exposure Limit (AEL) files from the NSE website to reflect exposure changes in line with internal guidelines.
- Investigate and report short allocation of stocks across MTF, collateral, and cash segments.
- Maintain and update daily MIS reports for squared-off orders as per Risk Department directives.
- Handled adjustments and risk management for ASM (Additional Surveillance Measure), GSM (Graded Surveillance Measure), and ESM (Enhanced Surveillance Measure) stocks.
- Performed manual fund and collateral allocation as per operational requirements
- Monitored pay-in and pay-out of stocks to prevent auction penalties and ensure timely settlement.
Senior Executive
Axis Securities Ltd.
03.2022 - 09.2023
- Role :- After taking confirmation placing buy and sell orders and solving customers queries regarding Future and option and cash market. Guide them about new market updates and investments.
- Placing orders in cash and the derivative market.
- Providing new investment products information of the stock market.
- Coordinate with the risk management team and Customer Support regarding customers' queries.
- Generating revenue from other services like PMS, Mutual Fund, and MTF.
Relationship Manager
HDFC Securities.
08.2021 - 03.2022
- Role :- To maintain records of overall market activities. To administrate buying and selling of products in stock market. To communicate regularly with clients through audio calling and mails in order to solve relevant queries.
- Activation of NON-traded customers who had opened the account with HDFC Securities but still not yet activated the account in the current financial year.
- While activating these Non-trader and Stop-trader clients, providing a full demo of the website with research calls, and advising to keep clients active and increase revenue.
- Cross-selling other by-products of Equity so that customers remain active month on month.
E- Relationship Manager
India Infoline Securities ltd.
06.2020 - 05.2021
- Role :- Convert fresh leads in to active clients. Opening new account as per daily target. Connecting customers through audio calls and guide them to complete account opening journey.
- Working in Equity, Mutual fund, and a trading platform.
- Generating business from existing clients and building relationships.
- Cross-selling other by-products of Equity so that customers remain active month on month.
- Solving customers' queries and giving them advice about investments.
- Trading platform introduction and basic training.
- Maintaining daily sales records.
- Generating business from existing clients and building relationships.
- Solving customers' queries and giving them advice about investments.
Executive
Sharekhan Limited.
07.2017 - 06.2019
- Role:- Meet customers and guide them about stock market and open an account. After account opening, give them the best investment advice on a regular basis.
- Maintaining daily sales records.
- Generating business from existing clients and build relationships.
- Solving customers' queries and giving them advice about investments.
Education
PG Diploma in Management - Marketing Management
L.N. Welingkar Institute of Management Development and Research
01.2024
Bachelor of science - undefined
KBP College vashi
Navi Mumbai, Maharashtra01.2018
Higher Secondary Certificate - undefined
Tilak College Vashi
Navi Mumbai, Maharashtra01.2011
Secondary School Certificate - undefined
PVGS Vidyabhawan High School
Navi Mumbai, Maharashtra01.2008
Skills
SQL
PowerBI
Python programming
VBA Macros
Microsoft Excel proficiency
Certification
NISM-Series-VIII: Equity Derivatives certificate.
Timeline
Risk Associate
Axis Securities Ltd.
10.2023 - Current
Senior Executive
Axis Securities Ltd.
03.2022 - 09.2023
Relationship Manager
HDFC Securities.
08.2021 - 03.2022
E- Relationship Manager
India Infoline Securities ltd.
06.2020 - 05.2021
Executive
Sharekhan Limited.
07.2017 - 06.2019
Bachelor of science - undefined
KBP College vashi
Higher Secondary Certificate - undefined
Tilak College Vashi
Secondary School Certificate - undefined
PVGS Vidyabhawan High School
PG Diploma in Management - Marketing Management
L.N. Welingkar Institute of Management Development and Research