SWETA WAGHAVALE
Mumbai
Summary
Results-driven finance professional with over 5+ years of experience in banking, equity trading, derivatives (F&O), and investment products. Proven expertise in client servicing, trade execution, KYC compliance, and third-party financial products. Strong communicator with a customer-focused approach and ability to work effectively across operations, RMS, and compliance teams.
Overview
11
11
years of professional experience
1
1
Certification
3
3
Languages
Work History
Assistant Manager
FISDOM (Finwizard Technology Pvt. Ltd.)
10.2022 - 02.2026
- Revenue generation from Equity broking and Third-Party Products.
- Managing a portfolio of 120+ clients (self source, AP and wealth mapped) ensuring personalized service and long-term relationship retention.
- Conducting periodic portfolio reviews and recommending customized investment solutions to maximize client satisfaction.
- Executed equity and derivatives (F&O) trades as per client instructions and internal policies.
- Monitored client positions, margins, and exposure limits to minimize risk and margin shortfalls.
- Coordinated with Operations, RMS, and Compliance teams to resolve trade-related discrepancies.
- Maintained high standards of confidentiality, accuracy, and timely execution.
- Supported client onboarding and transactions in Smallcase portfolios, explaining themes, execution, and rebalancing cycles.
Sales Officer
HDFC BANK / HDFC SECURITIES
06.2015 - 11.2018
- Generated revenue through sales of Demat & Trading accounts, CASA, Mutual Funds, and Insurance products.
- Coordinated with leads and processing teams to ensure account opening within 24 hours of document receipt.
- Ensured active trading by clients post account opening.
- Supported Branch Operations Manager with KYC documentation, verification, and uploads.
- Conducted In-Person Verification (IPV) and ensured compliance with regulatory requirements.
Education
Bachelor of Commerce (B.Com) -
Mumbai University
01.2014
Skills
Equity & Derivatives (F&O) Trading
Client Servicing & Relationship Management
KYC & Regulatory Compliance
Mutual Funds, Insurance & Investment Products
Risk & Margin Monitoring
Coordination with Operations & RMS
Communication & Self-Motivation
Certification
NISM Certificate
Interests
Travel, Photography, Music, Reading
Timeline
NISM Certificate
03-2025
Assistant Manager
FISDOM (Finwizard Technology Pvt. Ltd.)
10.2022 - 02.2026
Sales Officer
HDFC BANK / HDFC SECURITIES
06.2015 - 11.2018
Bachelor of Commerce (B.Com) -
Mumbai University