Shubham Gupta
Mumbai
Summary
- Results-driven Compliance and Risk Management Professional with eight years of experience enhancing operational efficiency and mitigating risk across fixed income, derivatives, equity markets, and alternative investments. Specialized in investment compliance, risk analysis, and regulatory adherence, with hands-on experience supporting UCITS compliance frameworks, and monitoring investment restrictions.ven ability to leverage automation and technology-driven solutions to streamline compliance processes, enhance reporting accuracy, and reduce manual intervention. Skilled in assessing business operations, identifying control gaps, and implementing strategic process improvements. A communicative and detail-oriented Senior Analyst with strong project management capabilities, and a successful track record of leading cross-functional teams while building strong stakeholder relationships. Seeking to contribute to a forward-thinking organization that values innovation, integrity, and regulatory excellence.
Overview
9
9
years of professional experience
Work History
Investment Compliance - Senior Analyst
M&G Global Services Private Limited
Mumbai
11.2023 - Current
- Interpreted investment restrictions for funds, including regulatory, prospectus, and internal guidelines, ensuring alignment across fixed income and currency portfolios.
- Segregated mandates and collaborated with investment desks and Client Portfolio Managers (CPMs) to negotiate guidelines, reducing reliance on manual checks.
- Coded and conducted oversight of investment guidelines in compliance systems, ensuring accurate implementation and continuous monitoring.
- Maintained and updated compliance band lists and client-restricted security lists to reflect current investment constraints and regulatory expectations.
- Reviewed and updated compliance setups for existing client accounts to remain aligned with evolving regulatory and client requirements.
- Developed and maintained strong working relationships with internal stakeholders to support an efficient investment process, while upholding independence in compliance oversight.
- Ensured all portfolio investments adhered to client guidelines, internal policies, and relevant regulatory frameworks.
- Utilized BQL-coded tags to enforce investor-laid portfolio guidelines and automate compliance checks.
- Delivered comprehensive compliance services aimed at enhancing process efficiencies, satisfying risk and compliance standards, and managing transformation initiatives.
- Identified and interpreted investment guidelines across various asset classes—equity, mutual funds, and fixed income—and coded them into compliance systems to guide portfolio managers in investment decision-making.
Team Leader Compliance Rule Coding
JP Morgan Services India Pvt Ltd
Mumbai
02.2021 - 10.2023
- Onboarding new clients for investment compliance involves understanding the client requirements, interpreting the prospectus/investment mandate, and extracting compliance restrictions to create a compliance rule matrix.
- Liaising with clients to obtain additional information that may occasionally be necessary to code the compliance matrix into the compliance system.
- Reviewing compliance rules in the matrix by comparing them against updated prospectuses, SAIs.
- Researching ad-hoc queries from the compliance reporting team to determine if current rules are in line with the IMA guidelines.
- Ensuring timely resolution of issues while adhering to Standard Operating Procedures by building and creating SLA cycles as per Investment Compliance reporting requirements.
- Ensuring regular rule maintenance on compliance applications and conducting account mapping/review vis-à-vis applicable rules.
- Understanding and analysing the respective fund manager's methodology of monitoring guidelines and recommending modifications aimed at aligning it with JPMC's standards to ensure effectiveness.
- Ensuring comprehensive billing for respective clients by setting up processes with complete coverage of elements, and regularly updating them.
- Launching and monitoring new funds, and executing fund closures of liquidated funds by liaising with clients and the client servicing team.
- Eliminating corrosive breaches by enhancing rule logics and continually initiating processes for breach reduction.
- Handling daily and weekly FAST calls with breach reporting teams to discuss and identify breaches experienced by the reporting team.
- Developing, modelling, and analysing business processes, and assisting the business in identifying ways to maximise operational efficiencies, quality, and compliance.
Consultant Compliance Rule Coding
JP Morgan Services India Private Limited(Payroll Randstad)
Mumbai
05.2020 - 01.2021
- Onboarding new clients for investment compliance involves understanding the client requirements, interpreting the prospectus/investment mandate, and extracting compliance restrictions to create a compliance rule matrix.
- Liaising with clients to obtain additional information that may occasionally be necessary to code the compliance matrix into the compliance system.
- Reviewing compliance rules in the matrix by comparing them against updated prospectuses, SAIs.
- Researching ad-hoc queries from the compliance reporting team to determine if current rules are in line with the IMA guidelines.
- Ensuring timely resolution of issues while adhering to Standard Operating Procedures by building and creating SLA cycles as per Investment Compliance reporting requirements.
- Ensuring regular rule maintenance on compliance applications and conducting account mapping/review vis-à-vis applicable rules.
- Understanding and analysing the respective fund manager's methodology of monitoring guidelines and recommending modifications aimed at aligning it with JPMC's standards to ensure effectiveness.
- Ensuring comprehensive billing for respective clients by setting up processes with complete coverage of elements, and regularly updating them.
- Launching and monitoring new funds, and executing fund closures of liquidated funds by liaising with clients and the client servicing team.
- Eliminating corrosive breaches by enhancing rule logics and continually initiating processes for breach reduction.
- Handling daily and weekly FAST calls with breach reporting teams to discuss and identify breaches experienced by the reporting team.
- Developing, modelling, and analysing business processes, and assisting the business in identifying ways to maximise operational efficiencies, quality, and compliance.
Risk Management Executive
Motilal Oswal Financial Services
07.2018 - 10.2019
- Oversaw pan-India risk management for the capital market segment, controlling and restricting admin and pool limits at the franchisee and client levels as per the risk policy across all segments.
- Monitored and restricted brokerage (funds) and collateral payouts of risky Franchisee accounts
- Engaged in follow-ups for low cover and concentrated portfolio positions, and liquidated the same in the absence of a margin collection update as per Risk Policy.
- Cross-checked the existing system and updated all data properly in the system.
- Produced MIS reports concerning risk follow-ups, liquidation amount details, and other reports, such as stressed franchisee accounts, as per management requirements.
- Identified system loopholes and bugs, and provided solutions for system automation.
- Supplied data, with cross-verification for other department requirements.
Compliance Executive
KIFS Trade Capital
12.2017 - 07.2018
- Executed trades accurately in accordance with clients' approved permissions.
- Resolved post-trade disputes in a timely manner.
- Confirmed clients' explanations for Money Laundering Act questions raised by exchanges and regulatory agencies, and reported findings to senior management.
- Verified that pertinent KYC details were properly recorded, and collaborated with the KYC and sales departments to ensure accuracy.
- Supervised other compliance issues.
Risk Management & Surveillance Executive
Angel Brokings
10.2016 - 12.2017
- Supervised B2B risk and surveillance, ensuring compliance with regulations.
- Monitored and reported on clients' true and estimated risks in cash and derivative segments.
- Ensured timely collection of margins on a T+1 basis for derivative transactions.
- Created data and MIS reports.
- Set limits for clients and sub-brokers in cash, commodity, and derivative segments.
- Executed the squaring off of positions in case of a margin shortage for both cash and derivative segments.
- Oversaw the risk of sub-brokers
- Balanced ledger balance and collaterals in the Derivative Segment.
Education
Bachelor of Management Studies - Finance
Mumbai university
05.2016
HSC - Commerce
Maharashtra State Board
05.2013
SSC -
Maharashtra State Board
05.2011
Skills
- Financial Analysis
- Microsoft Office 365 Applications
- Fixed Income
- Private Equity
- Compliance
- Portfolio Accounting
- Capital Market
- Investment Compliance
- Risk Management
- Compliance Coding
- Process Improvement
- Project Management
- Data Analysis
- Communication Skills
- Alternative Investment
Accomplishments
- Star Performer of the Month, May 2022, JP Morgan Services, India Pvt Ltd
- Star Performer of the Month, March 2022, JP Morgan Services India Pvt Ltd
- Star Performer of the Month January 2022, JP Morgan Services India Pvt Ltd
- Start of the Month June 2024, M & G Global Services Pvt Ltd
- Start of the Month Oct 2024, M & G Global Services Pvt Ltd
Languages
Hindi
First Language
English
Advanced (C1)
C1
Marathi
Intermediate (B1)
B1
References
References available upon request.
Timeline
Investment Compliance - Senior Analyst
M&G Global Services Private Limited
11.2023 - Current
Team Leader Compliance Rule Coding
JP Morgan Services India Pvt Ltd
02.2021 - 10.2023
Consultant Compliance Rule Coding
JP Morgan Services India Private Limited(Payroll Randstad)
05.2020 - 01.2021
Risk Management Executive
Motilal Oswal Financial Services
07.2018 - 10.2019
Compliance Executive
KIFS Trade Capital
12.2017 - 07.2018
Risk Management & Surveillance Executive
Angel Brokings
10.2016 - 12.2017
Bachelor of Management Studies - Finance
Mumbai university
HSC - Commerce
Maharashtra State Board
SSC -
Maharashtra State Board
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