Rohit Gupta
Investor Services - Manager Operations
51/8, B. L. Saha Road, Kolkata - 700053
Summary
Results driven and highly motivated individual with experience in the financial services industry. Adept at overseeing and optimizing operations to ensure efficient processing of investors transactions. Committed to delivering exceptional customer service and achieving organizational objectives. Seeking to leverage expertise in managing teams and streamlining processes to contribute to the success of a progressive financial institution.
Overview
9
9
years of professional experience
Work History
Manager Operations
HSBC
Kolkata
09.2019 - Current
- Led team of professionals in executing daily operations related to client onboarding, investor transactions and fund distribution.
- Developed and implemented operational strategies to improve processing efficiency, resulting in reduction in turnaround time for investor transactions.
- Collaborated with cross-functional teams to ensure compliance with regulatory requirements and implement system enhancements.
- Oversaw trade processing, transaction management and reporting for hedge funds and traditional funds, ensuring accurate and timely processing for investors.
- Conducted regular performance evaluations for team members and identified training needs to enhance team’s skillset.
- Acted as primary point of contact for client inquiries, addressing concerns promptly and ensuring client satisfaction.
- Implemented quality control measures to identify and rectify discrepancies in investor data leading to decrease in error rate.
- Assisted in onboarding of new clients, coordinating with relationship management teams to ensure smooth transition.
- Identified and resolved unauthorized, unsafe, or ineffective practices
Assistant Manager Operations
HSBC
Kolkata
06.2017 - 08.2019
- Successfully re-migrating trade processing (Dublin) process from Malaysia and achieved BAU.
- Lead remigration of HK transfer agency from Guangdong to Kolkata.
- Established controls and with various process improvement ideas, led to increase in efficiency and avoiding risk of making human errors.
- Provided training to new joiners and allocating work as per priority to ensure PLA/SLA are met.
- Provided BCP training and was on top of all BCP activities to ensure excellent data quality processed in BCP testing, thus helping in smooth conduct of BCP testing.
- Cross trained myself in cash settlement activities such as subscription, redemption & switch settlements, funding of redemptions to be paid out, reconciliation cash receipts & payments of Clearstream, preparing MJS files for dividend, charges & interest.
- Held collective brainstorming sessions with team which helped in overcoming of challenges with subsequent ideas to gain efficiency enhancing cost effectiveness.
- Single-handedly managed on boarding of one of the top clients seamlessly by liaising with various downstream and upstream teams to understand client requirement, timelines and getting those cascaded internally within different teams to guide them with workflow setup.
Fund Administrator
HSBC
Kolkata
02.2015 - 05.2017
- Processed high volume of investor transactions, including subscription, redemption, switch and transfers, with focus on accuracy and adherence to established procedures.
- Procedural changes/new initiatives are reviewed, agreed with business areas, fully communicated to staff and implemented.
- Review SOP’s and updating them in timely manner, ensuring team is aware of updates and adhering to it.
- Establish and maintain effective relationship with customer business areas and identify areas of service improvements.
- Strong focus on quality by maintaining accuracy and delivering customers in timely manner.
- Identify problem situations proactively, resolve to give maximum customer satisfaction and escalate where necessary. Take appropriate measures to improve quality and prevent recurrence
- Identify and reduce manual processes for enhanced operational control.
- Assisted in development and testing of new software applications to enhance business operations.
- Lead User Acceptance Testing for business.
- Conducted training sessions for new team members to ensure a comprehensive understanding of processes.
- Plan for standardization of processes by sharing best practices. With aim to enhance cost effectiveness and efficiencies.
- Acted as subject matter expert, providing guidance and support to colleagues on complex investor inquiries.
- Adhering to HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
Education
CS Executive (Inter)
Year of Passing - 2013
Bachelor of Commerce
04.2001 -
Year of Passing - 2010
Higher Secondary Education
Year of Passing - 2007
Secondary Education
Year of Passing - 2005
Skills
Working knowledge of traditional and hedge funds
Knowledge of end to end trade life cycle
In depth knowledge of Transfer Agency
Acting as resident expert to troubleshoot team’s issues
Knowledge of capital markets
Sound knowledge of SWIFT
Coaching and mentoring
Awards and Accolades
- Received various accolades directly from business partners for successful demonstration of client centricity.
- Star Performer for Q2 in 2016, Q1 in 2018.
- Client Centricity Individual Award for Q1 in 2019, Q2 in 2020, H1 in 2020.
- Client Centricity Team Award for Q1 in 2020.
- Centre Director Award for the year 2020.
Timeline
Manager Operations - HSBC
09.2019 - Current
Assistant Manager Operations - HSBC
06.2017 - 08.2019
Fund Administrator - HSBC
02.2015 - 05.2017
University of Calcutta - , Bachelor of Commerce
04.2001 -
The Institute of Company Secretaries of India - , CS Executive (Inter)
National High School (Boys) (WBCHSE) - , Higher Secondary Education
Andhra Association School (WBSE) - , Secondary Education