Sujoy Dutta
Investment Counselor
Chhatarpur Extension, New Delhi
Summary
Performance-oriented Investment Advisor with a focus on product suitability, with a demonstrated history of working in Investment Advisory and Wealth Management. Skilled in Capital Markets, Fixed Income, and Equity Managed Investments, Structured products, and Alternative Investments. Investment professional specializing in managing product offerings across asset classes, their conceptualization, and due diligence.
Proficient in researching market trends, staying current on regulatory changes and evaluating economic indicators. Capable of analyzing, planning for and mitigating potential impacts to keep funds performance at optimal levels. Good grasp of economic, accounting and mathematical principles.
Overview
20
20
years of professional experience
15
15
years of post-secondary education
3
3
Languages
Work History
Investment Counselor
IndusInd Bank
07.2022 - Current
- To achieve book growth via new client acquisition & growth in existing AUM
- Sustainably build the Investment business so as to achieve leadership position in the region
- Drive the Investments business through the mapped teams
- Build and deepen relationships with internal stakeholders
- Manage and leverage product providers at a local level
- Maximize business performance opportunity
- To strategize stoppage of AUM leakage by client retention, regular client portfolio reviews and portfolio monitoring and advise in tandem with the Research & Products Team views
- Regular Training of mapped RMs (38) on Products and Market updates – In house Views
- Assisting RMs in client meetings to conclude compliant and client centric sales
- To achieve gross sales via distribution of investment products
- Activation of key channels KAM, Select NR RM, Excusive & Pioneer as applicable
- Achieve Broking accounts budge for the managed geography while being conscious about ATS
- EUIN compliance of Branch Manager, KAM, Select NR RM, Exclusive, Pioneer Channel Heads as applicable.
Investment Counselor
HDFC Bank
06.2021 - 08.2021
- Achieving Net Sales target of assigned RMs basis resource level plans
- Responsible for RMs meeting Net Sales Targets
- Ensure efforts are channelized to all mapped RMs
- Joint ownership with RM to grow the investment book on an overall basis
- Support RMs in Investment led on boarding –support through Investment Proposals and Heldaway
- Reviews
- Client Portfolio Review discussion and advise actionables, basis client risk appetite and investmenthorizon
- Maintain and exceed quality parameters regarding client portfolio management.
Investment Advisor
HDFC Securities Pvt. Ltd
10.2019 - 07.2021
- Drive overall Client Advisory by ensuring growth in advised AUM & net new assets addition
- Conducting client portfolio reviews in tandem with client risk appetite, investment horizon, portfolio expectation and Investment Policy Statement
- Presentation of Portfolio Reviews to the clients to highlight any portfolio performance in-efficiencies, deviation from stated investment objective
- Post the review discussion the client is provided with customized proposals in tandem with his investment objective and horizon
- The proposed avenues of investment are made in alignment to market outlook
- The 2 proposed funds are presented in all transparency with their long term and short term performance and attributes
- Drive quality of prospect conversations through introduction to advisory platform and portfolio reviews of NTB clients
- Own investment relationship for advisory clients by ensuring positive and appreciative feedback from clients and
- Group Heads, supervisor review and assessment of quality and suitability of advice including rationale given, disclosure of material facts relating to key features of products
- Contribute to strategic initiatives by collecting information of companies (listed/unlisted) from open market and data mining of company annual reports to identify their suitability for advisory proposition
- Compliance with SEBI IA Regulations by ensuring satisfactory performance in audit on all parameters, both individual and collective, Record keeping of (a) risk profiling of advisory clients (b) all advice given to clients and timely submission of the same to supervisor, Ensure arms length relationship amongst group and subsidiaries, especially execution arm, ensuring NISM XA & XB certification at all times.
Investment Counselor
Karvy Private Wealth
09.2016 - 09.2019
- Managing a team of 40 members between Delhi-Noida and Bengaluru
- Responsible for preparing and executing team action plan for each member
- Driving MF, AIF, PMS-Debt and Equity, RE Buy Back
- Facilitating growth of MF AUM
- Ensuring availability of support systems like training, joint calls
- Reviewing, analyzing Investment portfolios of existing clients to further advise and facilitate cross and upsell
- Understanding the new products launched and explaining to the sales team (Both the product and process)
- Understanding customers needs & requirements and accordingly suggesting products mix
- Acting as an intervening link between the research, products & solutions team and the Wealth Advisors
- Coordinating with the Portfolio Managers and Research analysts (products team) for taking investment decision for the clients
- Helping in the process of drafting & modification of the Financial Plan of the clients and streamlining the process of doing that
- Preparing and modifying Financial Plans as required by clients in conjunction with Wealth Advisor
Assistant Vice President
FinEdge Advisory Pvt. Ltd
03.2013 - 08.2016
- Develop plans and strategies for developing business and achieving the company’s sales goals
- Create a culture of success and ongoing business and goal achievement
- Manage the sales teams, operations and resources to deliver profitable growth
- Define optimal sales force structure
- Hire and develop sales staff
- Define and coordinate sales training programs that enable team members to achieve their potential sales objectives
- Manage customer expectations and contribute to a high level of customer satisfaction
- Define sales processes that drive desired sales outcomes and identify improvements where and when required
- Provide detailed and accurate sales forecasting 3
- Monitor customer, market and competitor activity and provide feedback to company leadership team and other company functions
- Manage key customer relationships and participate in closing strategic opportunities
Family Business
01.2005 - 01.2012
- Procuring interstate clients for Teak Wood Purchase
- Purchasing teak land and completing legal formalities
- Filing of timber as per standard specification of specific sizes as required by client
- Arranging various species of teak – Burmese, Indian etc
- Arranging logistics and warehousing
Education
Post-Graduation Diploma - Advance Financial Planning & Wealth Management
The Indian Institute of FinancialPlanning
01.2012 - 01.2013
B.Sc - IT, Computer Science & Engineering
Sikkim Manipal University, Dr. T.M.A. Pai Polytechnic
01.2010 - 01.2013
PGDM - Management (Finance
IMT
07.2020 - 06.2022
NISM – Series V-A Mutual Fund Distributors Certifi -
NISM
02.2022 - 04.2025
NISM-Series-XVII: Retirement Adviser Certification
NISM
06.2021 - 06.2024
NISM-Series-XXI-A: Portfolio Management Services
NISM
01.2023 - 01.2026
Skills
Creation of Investment Proposal, Presentation & Execution
Deepening by Increasing Wallet & Mindshare of Investors
Ensuring Compliant Cross Sale
Ensuring Regulatory Compliance of Team
Financial Planning
Identifying AUM Leakage Strategizing Stoppage
Portfolio Review & Monitoring
Product & Market Knowledge
Strategizing Sustainable Book Building
Additional Information
Best Team Award: 2014-15 at the Annual Convention of FinEdge Advisory
Major Contributor at "Mission Fifty" at FinEdge Advisory
Spot Award Highest SIP Value: 2014-15 at the Annual Convention of FinEdge Advisory
Timeline
NISM-Series-XXI-A: Portfolio Management Services
NISM
01.2023 - 01.2026
Investment Counselor
IndusInd Bank
07.2022 - Current
NISM – Series V-A Mutual Fund Distributors Certifi -
NISM
02.2022 - 04.2025
NISM-Series-XVII: Retirement Adviser Certification
NISM
06.2021 - 06.2024
Investment Counselor
HDFC Bank
06.2021 - 08.2021
PGDM - Management (Finance
IMT
07.2020 - 06.2022
Investment Advisor
HDFC Securities Pvt. Ltd
10.2019 - 07.2021
Investment Counselor
Karvy Private Wealth
09.2016 - 09.2019
Assistant Vice President
FinEdge Advisory Pvt. Ltd
03.2013 - 08.2016
Post-Graduation Diploma - Advance Financial Planning & Wealth Management
The Indian Institute of FinancialPlanning
01.2012 - 01.2013
B.Sc - IT, Computer Science & Engineering
Sikkim Manipal University, Dr. T.M.A. Pai Polytechnic
01.2010 - 01.2013
Family Business
01.2005 - 01.2012