Shubham Gupta

Experience

1. Senior Control & Assurance Analyst

   M&G India

   Nov 2023 — Present · Mumbai, IN

   Led comprehensive reviews of fund guidelines, prospectus, and due diligence documentation to ensure compliance with both regulatory and internal standards.2. Partnered with cross-functional teams to resolve inquiries and provide clarity on investment restrictions, ensuring alignment on complex mandates.3. Spearheaded the coding of investment guidelines in Aladdin for fixed income and currency portfolios, ensuring precise alignment with regulatory and internal constraints.4. Delivered final-coded solutions to Fund Managers (FM) and Assistant Fund Managers (FMA), presenting clear, actionable insights to support decision-making.5. Drove ongoing updates to investment rule coding, incorporating fund amendments and conducting regular reviews to maintain accuracy and compliance.6. Analyzed and interpreted intricate investment restrictions, collaborating with investment desks and CPMs to streamline compliance processes and reduce manual interventions.7. Managed the coding and oversight of investment guidelines within compliance systems, updating Compliance Band Lists and Restricted Security Lists for clients.8. Proactively reviewed and adjusted compliance setups for client portfolios, adapting to evolving regulatory landscapes and client-specific mandates.9. Fostered strong relationships with internal stakeholders, providing expert guidance on compliance matters while maintaining an independent, objective viewpoint.10. Ensured full adherence to client guidelines, internal policies, and regulatory requirements through meticulous monitoring of portfolio investments.11. Delivered tailored compliance solutions that enhanced operational efficiencies, mitigated risks, and facilitated transformation initiatives in the investment process.12. Identified and implemented client-specific investment guidelines across diverse asset classes (Equity, Fixed Income, Mutual Funds), enabling seamless trading and execution for portfolio managers.

Education

• Patuck Technical High School

  Secondary Education

  2008 — 2011

• Chetana's Institute of Management & Research

  Bachelor's in Management Studies

  2013 — 2016

• Patuck Junior College

  Higher Secondary Education, Business/Commerce, General

  2011 — 2013

• Mumbai University Mumbai

  Bachelor of Business Administration - BBA, Finance, General