Summary
Overview
Work History
Education
Skills
Websites
Personal Information
Timeline
Generic

Subham Kumar Gupta

Bangalore

Summary

Attentive and goal-focused brings successful approach to cultivating complex best practices to meet organizational and regulatory expectations. Detail-oriented focus on achieving expected outcomes. Enthusiastic hard worker with expertise in cultivating lucrative client relationships and implementing better processes and procedures.

Overview

6
6
years of professional experience

Work History

IND Consultant II

Aon
Bangalore
08.2023 - Current
  • Maintained positive working relationship with fellow staff and management
  • Created plans to propose solutions to problems related to efficiency, costs or profits
  • Identified areas for improvement, narrowing focus for decision-makers in making necessary changes
  • Facilitated training sessions for new employees on processes and procedures
  • Helped team in transitioning of Retirement settlement to India from Krakow
  • Working on end to end Settlement of Retirement and Pension for UK Clients
  • Collaborated with clients to develop action plans to address specific challenges and objectives.
  • Recognized by management for providing exceptional customer service.
  • Completed day-to-day duties accurately and efficiently.

Trainee Decision Scientist

Mu Sigma
Bangalore
07.2022 - 04.2023
  • Performed dynamic risk assessment of sub ledger accounts in a balance sheet using ML models, which increased the reconciliation frequency of high risk accounts by 90% an overall quality of balance sheet
  • Maintained balance sheet and performance dashboard in Tableau holding the matrices of different line items in a balance sheet along with the risk rating
  • Created quality control dashboard in Tableau to analyze and monitor the journey of group accounts in risk rating framework which resulted in identifying 2600 null balance account and saved numerous hours for the accountants

Analyst

KPMG Global Services
Bangalore
02.2022 - 07.2022
  • Performed background checks for newly onboarding customers for client
  • Worked with client and internal partners to obtain all the necessary support documentation to ensure completion of KYC records for complex client types in complex regulatory environments
  • Performed KYC Due Diligence on a wide range of entity types (Trust, LLC, Partnership, Sole Traders)
  • Performed Sanction screening and PEPs identification
  • Reviewed potential negative news hits across global client management division
  • Researched and verified the parties involved in suspicious transactions against various database like OFAC, World-Check and Internal searches

Process Analyst

Broadridge Financial Solution Private Limited
Bangalore
04.2019 - 02.2022
  • Company Overview: Mutual Funds and Retirement Solutions(Trust & Custody) - Processed 401K and IRA Plans
  • Monitored and approved Trade Activities
  • Corporate Actions - Booked and Processed the mandatory and voluntary Corporate Actions
  • Updated latest stock price and derivative price and reference data for T+1 Trade
  • Updated latest price for money market securities and used that data for reconciliation
  • Setup new account/portfolio and securities
  • Cash and stocks position reconciliation of custodian and client accounts
  • QC for New Account Setup
  • Worked on OFAC and FinCen files for sanctioned countries, PEP and SDN
  • Handled sending broker dealer, shareholders fees and 12b1 mails on daily, fortnightly, monthly and quarterly basis
  • Handled escalations from Analyst
  • Transition of new activities from US to India and helped setting up new teams
  • Managed training and development of new joiner
  • Daily Interaction with US counterparts
  • Have experience of working on Advent Exchange(Apx), Morningstar, ICE data and Bloomberg software
  • Mutual Funds and Retirement Solutions(Trust & Custody) - Processed 401K and IRA Plans

Education

Financial Analysis Program -

Imarticus Learning
Bangalore, India
12.2021

Certified Professional in Capital Market -

Watson & Miller Solution LLP
Bangalore, India
12.2021

CFA Investment Foundation Course -

12.2020

Certified Investment Banking Operations Professional - Securities and Derivatives, End to end Trade life cycle of Listed and OTC products, Functioning of Clearing and Settlement systems, Corporate Actions, Asset Management, Risk Management

Imarticus Learning
Bangalore, India
12.2018

Bachelors of Commerce -

Surana Evening College, Bangalore University
Bangalore, India
12.2017

12th -

Park Mount Public School
Patna, India
12.2014

10th -

Netaji Subhas Public School
Jamshedpur, India
12.2012

Skills

  • Excel
  • PowerPoint
  • Corporate Actions
  • Reconciliation
  • SQL
  • Retirement settlement

Personal Information

  • Age: 27
  • Gender: M

Timeline

IND Consultant II

Aon
08.2023 - Current

Trainee Decision Scientist

Mu Sigma
07.2022 - 04.2023

Analyst

KPMG Global Services
02.2022 - 07.2022

Process Analyst

Broadridge Financial Solution Private Limited
04.2019 - 02.2022

Financial Analysis Program -

Imarticus Learning

Certified Professional in Capital Market -

Watson & Miller Solution LLP

CFA Investment Foundation Course -

Certified Investment Banking Operations Professional - Securities and Derivatives, End to end Trade life cycle of Listed and OTC products, Functioning of Clearing and Settlement systems, Corporate Actions, Asset Management, Risk Management

Imarticus Learning

Bachelors of Commerce -

Surana Evening College, Bangalore University

12th -

Park Mount Public School

10th -

Netaji Subhas Public School

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