Shivam Patel

• Advising clients on investment in mutual funds and selecting the right mutual fund scheme as per their goals and tax savings .
• Developed relationships with clients in order to gain a better understanding of their goals and needs.
• Responded promptly to client inquiries about their accounts or any other related questions they may have had.
• Curating Goal based solutions for the clients : Wealth creation , Tax savings , Children's Future , Retirement Planning and Income solutions .
• Helping clients optimise the returns by advising on Systematic Investment Plan (SIP), Systematic Transfer Plan (STP ) and Systematic Withdrawal Plan (SWP) .
• Conducted research on the markets and available products in order to make informed decisions regarding investments.
• Monitored the performance of existing portfolios and recommended changes when necessary.
• Explained complex concepts such as stocks, bonds, mutual funds, ETFs, commodities and derivatives in an easy-to-understand manner.
• Advised clients on tax planning strategies related to their investments.
• Reviewed client accounts regularly to ensure that portfolio allocations were consistent with stated objectives.
• Attended conferences, seminars and webinars to stay up-to-date with industry regulations.
• Educated clients on various investment options available in the marketplace.
• Followed up with clients periodically via phone calls or emails to discuss progress towards achieving financial goals.

• Played a key role in the reverse merger of a listed company, handling a crucial chapter of the SEBI prospectus.
• Primarily handled capital markets: equity and debt, helping clients raise funds for their businesses.
• Handled IPO , Right issue , Buy back, M&A and NCD of Listed companies with a team Of CA, CS and MBA .
• Handled SEBI Merchant Banking Audit of my employer as per SEBI ( Merchant Bankers) Regulation , 1992 .
• My core expertise has been in the Business and Risk Factors chapter for the SEBI Prospectus across different sectors: Healthcare, Real Estate, IT, Mining, Manufacturing, NBFC, Aviation, and Infrastructure. .

• Conducted Audit for our Australian CPA client providing outsourcing services.(Outsourcing services)
• Conducted Statutory Audit of our Indian client engaged in manufacturing filament yarns .
• Conducted comprehensive due diligence investigations on potential business partnerships, mergers, and acquisitions.

• Accounting of daily transactions
• Bank Reconciliation
• Expense Reconciliation
• Financial Statements reporting
• Researching on various legal and accounting issues

Software's used :

>QuickBooks

>cieTrade

• Conducted substantive testing and analytical procedures to evaluate the accuracy of financial statements in accordance with auditing standards. (Private Ltd companies , Partnership firms ,LLP )
• Assisted in the development and execution of audit programs, ensuring compliance with industry standards.
• Coordinated internal audits, identifying and addressing control weaknesses to enhance operational efficiency.( Chemical ,Packaging , Biotechnology(SEZ) )
• Conducted risk assessments, identified control weaknesses, and provided recommendations for process improvements to enhance financial reporting accuracy.( Real estate , IT, Chemical ,Packaging , Biotechnology(SEZ) )
• Income Tax Returns
• GST Returns
• Software used : Tally ERP 9 , MS Excel , ERP

• Conducted Management Audit
• Income Tax returns , GST returns ,TDS returns