Mohak Gupta

Relationship Officer @ Au Small Finance Bank

Noida mohak.gupta.754@gmail.com 8960000967
Current CTC
0 LPA
Expected CTC
0 LPA
Notice Period
30 Days
Experience
7.0 Years
Profile Summary

Investment-focused finance professional with 6+ years of experience across NBFCs, Asset Management Companies, Banks, and Wealth Advisory firms. Strong expertise in customer management, portfolio management, KYC compliance, investment processing, and backend coordination.
Skilled in managing HNI portfolios, supporting wealth teams, preparing investment reports, and ensuring smooth customer lifecycle management.

Work Experience
2025 – Present
Relationship Officer
Au Small Finance Bank
  • Supported customer onboarding through documentation, KYC verification and account activation processes.
  • Executed account operations, including updates, servicing, and fulfillment.
  • Conducted local marketing and outreach activities to create awareness and drive walk-ins.
  • Assisted in portfolio servicing, including account monitoring, issue resolution, and customer follow-ups.
  • Facilitated cross-sell support by explaining suitable banking products and coordinating with backend teams for processing.
  • Handled MIS reporting and portfolio servicing support.
2024 – 2025
Business Development Manager
The Gainers (Financial Planners)
  • Assisted clients in Financial & Retirement planning by preparing goal-based plans, projections, and allocation strategies.
  • Managed customer acquisition through referrals, client meetings, and relationship nurturing.
  • Ensured accurate KYC, compliance, and investment form processing across multiple AMCs and insurance partners.
  • Prepared financial planning reports & investment proposals by providing wealth management support.
  • Coordinated with AMCs and internal ops for portfolio execution.
2023 – 2024
Preferred Relationship Manager
Hdfc Bank
  • HNI portfolio servicing with a focus on compliance & documentation.
  • Ensured consistent fund management and account value enhancement by maintaining healthy relationships, coordinating deposits, renewals, and portfolio reviews.
  • Coordinated service requests, account updates & investment fulfillment.
  • Coordinated with investment desks and backend teams for smooth fulfilment of investment and service transactions.
2022 – 2023
Senior Relationship Manager
Bajaj Capital
  • Managed customer acquisition through warm leads, referrals, and relationship building while maintaining a service-first approach.
  • Conducted financial awareness campaigns and educated customers on investment products.
  • Performed KYC, form filling, investment servicing & compliance checks with high accuracy.
  • Assisted clients with financial & tax planning by preparing personalised plans, documentation, and coordinating backend execution.
2022 – 2022
Relationship Manager – CEC
Icici Prudential Amc
  • Provided wealth creation advisory by explaining suitable investment strategies based on customer goals and risk profile.
  • Maintained AUM growth and retention through customer servicing & query resolution.
  • Assisted clients in understanding mutual fund categories, asset allocation, and long-term investment planning.
  • Processed investment transactions, folio updates & compliance checks.
  • Coordinated with AMC backend for redemptions, switches & executions.
2020 – 2021
Assistant Manager
Motilal Oswal Financial Services
  • Supported onboarding, KYC & documentation for investment accounts.
  • Conducted product suitability analysis & client reporting.
  • Analyzed various investment products to identify options most suitable for client goals and risk appetite.
  • Evaluate future return potential of investment products to align recommendations with client objectives.
2019 – 2020
Senior Relationship Manager
Icici Direct
  • Cross-sell relevant investment and trading products to existing customers, and also acquire new customers.
  • Handle equity advisory support, dealing assistance & service requests.
  • Manage portfolio servicing operations & reporting.
  • Assist clients with trade execution, order placement, and dealing support across equity and derivative segments.
  • Identified and resolved customer challenges related to investments, platform usage, and transaction issues.
  • Coordinated with operations teams for timely trade settlements and transaction accuracy.
Education
Ibs Gurgaon
M.Tech in General
2017 - 2019
Jagran College Of Arts Science & Commerce
Bachelor of Business Administration in General
2014 - 2017
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Top Skills
Investment Operations – Mf, Pms, Aif Account Management & Service Requests Kyc / Documentation / Compliance Client Servicing & Portfolio Support