Ashish Gupta

RMS Executive

Mumbai, MaharashtraMember since September 25, 2025

Risk management SurveillanceTrade Operation

About

I am a results-oriented in Risk Management Surveillance & Operational Audit professional with over 6 years of extensive experience in identifying high-risk accounts and implementing compliance strategies. My expertise lies in enhancing workflow efficiency in financial operations while ensuring strict regulatory compliance. I aim to leverage my skills and experience to contribute to Risk management Surveillance,Trade Operation & Kyc Operation in the finance industry.

Experience

RMS Executive - Sushil Finance - Mumbai, Maharashtra

(2026-01 - 2026-10)

Upload of Bhavcopy, Trade file & FNO position files so that accurate alerts can be generated for analysing.
Preparation of Alerts generated & providing to seniors for analysing providing to seniors for analysing.
Closure of the alerts in Trackwizz for the analysed & action taken data.
To provide clients with accurate trading limits on ODIN based on their actual ledger balance and collateral as per RMS policy.
To ensure strict regulatory compliance by blocking client codes with CUSPA Ageing debits exceeding 5 days, preventing unauthorized fresh purchases.
To maintain an updated and reliable empowering DIALR database, empowering CRMs to check client collateral and request margin enhancements efficiently.
Run Query in SOHAM to Block fresh Payout till 9 AM while processing EOD so that accurate limit data can be generated which can further help to avoid Allocation Shortfall & applicable penalties.

Trade Settlement Executive - Ventura Securities - Mumbai, Maharashtra

(2024-07 - 2025-12)

Handled segregation and holding statement,SLBM,EPI,MG13, cash, non-cash, unapproved allocations
Monitoring the submission made by the member for data relating to Enhanced supervision circular by SEBI and Exchange.
Monitor and rectify discrepancies in trade matching backoffice software Hyper and Blitz understanding of SEBI, Exchange circular, Annexure cash component checking segregation penalty.
Var margin Segregation MIS reporting BOD and EOD Allocation,DP holdings,Invoke,pool Account.
Daily/weekly/Monthly NAV preparation.

Operations Executive - B D Shah Securities - Sion Mumbai

(2023-01 - 2024-07)

Managed client fund allocation during trading hours
Expert in using various Bau, CDSL & Com tak Software.
Manage backoffice day-to-day operations including penalty provisioning client funds payin and allocation for all market segment in Equity, FO, Commodities and CDS .
Involved in quality checking of performed cases for onshore Daily billing process Cash and F&O NSE,BSE,MCX etc. trade processing, contract notes, confirmations settlement.

Compliance Audit Executive - Shah Kapadia & Associates - Mumbai

(2020-10 - 2023-01)

Managing end-to-end KYC processes for client profiles. Ensuring compliance with local Reviewing client documentation, performing.
Working for clients AXIS Bank,IIFL Finance, IIFL Securities, Groww, Profitmart.
Review and Audit verify KYC & DP account opening forms & documentation in accordance with compliance regulations.
Compliance Risk Assessment worked in operational risk management,SOPs Phone banking fraud,risk control processes in Bank.
Verify the Execution of day today securities transaction in the system Back- office Main System of CDSL and NSDL.
Vouching various products of DP Account Opening Form, Demat/ Remat Request Forms,product of Modifications.