Manager Financial

Gaurav Agarwal CFP

**, *** ******* *****, ****** Road, Ghaziabad (201003) I +91-991******* I ******.****@*****.***

Utilize maximum potential for an organization growth as well as for my career growth and achieve a leadership quality in my profession. Focus to join an Asset Management Company, SEBI Registered Portfolio Manager, Family Office or Boutique Advisory Firm.

Synopsis:

Rich experience of more than ten years in financial advisory and wealth management. Possess in-depth knowledge of investment planning, mutual funds advisory, portfolio management and risk assessment. Have deep understanding of financial products especially MFs with best industry practices. Expertise in evaluating personal financial data and delivering sound advice based on client’s risk appetite & time horizon.

Key Skills: Financial Planning, Investment Analysis, Mutual Funds Advisory & Research, Portfolio Management, Channel Sales, Client Servicing & Client Retention, Key Account Management

Key Achievements:

Nippon India Mutual Fund (Formerly Known as Reliance Asset Management Company) Got Prestigious Super Achiever Award North Zone in FY 2016-17. Play a very key role in CPSE ETF mobilization through National Distributors in Delhi NCR, (Mobilize a significant sum in CPSE ETF second & third tranche).

OMNIMax India - Engaged in ICICI GPC (Global Private Clients) Project where we developed a financial planning platform for them in which they deal mainly their NRI clients. Complete OMNIMax Advice Map Platform in which I worked very closely with technical team and give my significant inputs on the platform. I played a very significant role in this entire platform.

Professional Experience:

Dec 2019 – Till Now Investments Manager

SURVAM Investments (Family Office of Hero Moto Corp Promoter

Mr Suman Kant Munjal), Saket New Delhi

Managing Family Office Investments which comprise Direct Equities, Mutual Funds, Equity PMS/AIF and Private Equities etc.

Track each Investment very closely on regular basis and ensure that it is in line with in the mandate of the portfolio.

In-depth research of Equity Mutual Funds like Underline Portfolios, Risk/Return Parity, Consistency with the Performance and Benchmarking etc.

Follow an Asset Allocation Approach for entire portfolio and Rebalance the portfolio with in Debt-Equity depending on the Market Situations and Valuations.

Prepare a Monthly Investment Committee Presentation for the Stakeholders which have a Broader Market Views and how the Portfolio perform during this time.

Liaising with AMCs, Portfolio Management Services and other Product Manufacturers, connecting regularly with them to understand their strategies and product offerings in detail.

Dec 2018 – Sep 2019 Channel Manager – IFA (Delhi NCR Region)

Purnartha Equity Research & Investments Advisory (SEBI RIA)

Maintain a healthy relationship with the key IFAs, SEBI RIAs, Financial Advisers & MF Distributors in Delhi NCR region.

Meeting regularly with all key advisers in the region and empanel them on our Equity Advisory Platform.

Create a brand recall for Purnartha and suggest them how they can align our offerings with their business models.

Joint calls with advisers depending on the comfort level of advisers with the client. Try to create a fees paying mindset among the clients.

Coordinate for all queries regarding research reports, quarterly results or any updates of companies including the portfolio.

Nov 2017 – June 2018 Deputy Manager – National Distributors & IFA Channel IDBI Asset Management Company, New Delhi

Primary responsible for maintain key relationships with IFAs and National Distributors in Delhi.

Promote IDBI Mutual Funds among distributors and increase the regular inflows with them.

Conduct various events and other promotional activities and increase the engagement level with distributors.

Maintain a decent retention ratio among distributors by regular communication and meeting with them.

July 2016 – Sep 2017 Deputy Manager – National Distributors Channel Nippon India Mutual Fund (Formerly Known as Reliance Asset Management Company), New Delhi

Primary responsible to manage key relationship with National/Regional Distributors (SMC Global & Wealth, Karvy Private Wealth, Motilal Wealth, Tata Capital, Almondz Global, Ifast Financial, Angel Broking, Chola Investments, Quant Capital etc.)

Maintain healthy market share and increase gross/net sales with the distributors.

Increase visibility of Reliance Mutual Fund products across asset class i.e. Debt & Equity.

Arrange product training time to time and increase awareness about various offerings of AMC.

Conduct Investor Awareness Programs IAPs as per AMFI stipulated guidelines.

Handle distributors’ grievances and queries pertaining to funds and operations issues.

Aug 2015 - Jul 2016 Assistant Manager - IFA Channel

ICICI Prudential Asset Management Company, New Delhi.

Increase Market Share of ICICI Prudential Mutual Funds among IFA community.

Arrange product training time to time and increase awareness about various offerings of AMC.

Conduct Investor Awareness Programs IAPs as per AMFI stipulated guidelines.

Handle distributors’ grievances and queries pertaining to Funds and operations issues.

Nov 2011 - Aug 2015 Product & Business Development Manager OMNIMax India, Noida

OMNIMax is into Financial Planning & Wealth Management & in Advisory Support Business with HQ in New Zealand presence in India, Australia, Singapore & Thailand.

My role includes Marketing & Sales of OMNIMax Products I.e. Financial Planning & Holistic Portfolio Management solutions to Individual Financial Advisers, Practicing CFPs, Boutique Wealth Management Firms, Brokerage Houses & Asset Management Companies.

Responsible for product development, for better client experience in terms of product usability.

Provide Product Presentation and explain all offerings to clients. Create customized product as per client’s needs.

Product testing and develop strong product knowledge. Collect feedback on various products, synthesized all of them and prepare a report to the management.

Prepare Monthly MIS Report which includes all the volumes generated in a month and per client information in detail.

Leverage sales opportunities with existing and prospective clients while maintaining key clients.

Handle client’s grievances and issues related to products and close all issues in a timely manner.

Dec 2009 - Nov 2011 Financial Planner Hum Fauji Initiatives

This organization is started by an Ex Army Colonel and totally committed to Indian Armed Force Officers and I was the first employee of this initiative.

Create 150+ Comprehensive Financial Plans for Army Officers with using all six steps of Financial Planning process as per Financial Planning Standard Board India.

Data Gathering from clients and made all data entry into FP software and create a comprehensive financial plan.

Assess client’s risk profile according to his age, resources, goal timeline and other future obligations.

Follow a customize approach for each financial planning clients and prepare a detailed analysis report of a client’s personal finances.

Evaluate all existing investments and give the recommendations according to the performance of investments (i.e. hold or switch).

Analyze client’s Cash-Flow. Prepare a household’s budget and Make a holistic future cash flow projection after consider all sorts of Incomes and expenditure.

Prepare a future cash surplus projection, investments planning projection and goal planning projection.

Implementations of all recommendation which has given in financial plan and advice best suitable product.

Make an Investment Portfolio and review of the each Asset class of this Portfolio on regular basis, if any changes required then implement those changes which match the client’s current and future financial requirements.

Professional Qualification:

CERTIFIED FINANCIAL PLANNERCM, ‘A’ Grade FPSB India on 21st Nov’2009 (Cleared all five CFP modules within seven months)

NCFM - Capital Market (Dealers) Module with 70.5%, Derivatives Market (Dealers) Module with 68.5%, NISM (Advisers) Module with 77% in Aug’18.

Complete Business Accountant, Nov’06 to Nov’07 (one year Diploma in Business Accounting), from IIJT Ghaziabad

Academic Qualification:

Bachelor in Commerce, 2008, S.S.V. (P.G.) College, Hapur (Meerut University)

Intermediate, 2002, P.I.C. Siyana, (U.P. Board, Allahabad)

High School, 2000, P.I.C. Siyana (U.P. Board, Allahabad)

Technical Skills:

Applications: MS Office, MS Excel, MS PowerPoint. Accounting Package: Tally 7.2, 8.1, 9.0 or 9.2 with VAT, Fact, Ace and Busy. Payroll: For Salary Computation and Retirement Benefits.

Possess Knowledge on various Software related to Financial Advisory and Investment Management Industry i.e. OMNIMax FP Software, FinaMetrica Psychometric Risk Profiling, Advice America, Value Express (Fund Analytics Tool), Invest well and Fundz Magic etc.

Extra- Curricular Activities:

Attend a seminar on ‘Importance of a Comprehensive Financial Plan’ conducted by ‘International College of Financial Planning’.

Participate in Network FP Knowledge Conclave where eminent speakers of the industry share their thoughts on FP practices, business opportunities and environment for financial planners, regulatory impact on industry etc.

Core Strength: Excellent Analytical and Problem Solving Skills and ability to work under Organization’s Requisite Condition. Communicate to external parties with clear understanding of their requirements.

Hobbies: Travelling, Reading Magazines and Newspapers, Social Networking, Participation in debates on various social issues.

Date:

Place:

Gaurav Agarwal CFP

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