Fredrick Pankieth
Risk Management
Mumbai
Summary
Strategic Risk Management Professional with deep expertise in identifying, assessing, and mitigating risks. Skilled in Regulatory Compliance, Financial Analysis, Enterprise Risk and Operational Risk. Strong focus on team collaboration and delivering measurable results. Adaptable and reliable in dynamic environments, ensuring optimal risk management and organizational resilience.
Overview
6
6
Certifications
20
20
years of professional experience
Work History
Vice President – Risk Management
SUNASA PLANETEOUS PVT LTD
01.2026 - Current
- Draft and implement Risk Management Policies, Trading Limits Policy, Margin and Exposure Policy, and Escalation Matrix.
- Develop automated controls for pre-trade checks, real-time surveillance, intraday risk alerts, and end-of-day reconciliations.
- Product-level restrictions (Index, Stock Futures, Options, etc.)
- Monitor Open interest, Position limits, Margin Utilization, and sudden large trades.
- Perform risk assessments with department heads by analyzing current risks and identifying potential risks that could affect the company.
- Prepare and maintain internal and external data gathering for risk analysis and reporting.
- Deliver regular risk analysis reports to the Board, complete with actionable plans for avoiding or preventing potential threats at all levels.
Vice President – Risk Management
YES SECURITIES
12.2022 - 01.2026
- Institutional Risk Management.
- Controlled and reviewed risk management processes, focusing on activity oversight. Identified opportunities for new controls to bolster risk management practices. Refined existing controls to elevate market risk assessment capabilities. Designed tools aimed at enhancing processes and systems for market risk management.
- Designed an effective risk reporting system for the board of directors to identify key business vulnerabilities. Promoted awareness among business leaders about the risks influencing departmental performance. Outlined individual accountability for risks to empower employees in their roles. Established mechanisms for monitoring risk developments and enforcing implementation protocols.
- Formulate and initiate a business continuity plan (BCP) in conjunction with a disaster recovery (DR) plan to reduce risks.
Senior Manager – Risk Audit & Compliance
IDBI CAPITAL MARKETS LTD
04.2010 - 11.2022
- Led strategic initiatives to enhance client engagement and satisfaction in financial services.
- Developed and implemented risk management frameworks to mitigate operational risks.
- Oversaw portfolio management processes, ensuring alignment with market trends and client objectives.
- Collaborated with cross-functional teams to optimize investment strategies and improve performance outcomes.
- Analyzed market data to inform strategic decision-making and investment opportunities.
- Established performance metrics for evaluating product effectiveness and stakeholder satisfaction.
- Led cross-functional teams to achieve project milestones and deliver high-quality results.
Manager – Risk Management & Surveillance
SBI CAP SECURITIES LTD
06.2006 - 04.2010
- Managed risk by setting up and assigning limits to clients.
- Mentored junior managers, fostering professional growth and enhancing team performance.
- Conducted market research to identify emerging trends, guiding investment strategies for clients.
- Streamlined processes using data analysis, resulting in improved service delivery and client satisfaction.
- Enhanced customer satisfaction by resolving disputes promptly, maintaining open lines of communication, and ensuring high-quality service delivery.
- Maximized performance by monitoring daily activities and mentoring team members.
- Built high-performing teams through effective recruitment, onboarding, and talent development initiatives.
- Mentored junior team members for career advancement, fostering a pipeline of future leaders within the organization.
- Conducted market research to identify customer needs and adjusted product offerings accordingly, increasing customer satisfaction.
Education
Bachelors of Commerce - Accounting
Mumbai University
Mumbai, India 04.2001 -
H.S.C - undefined
National Education Society High School & Junior College
S.S.C - undefined
St. Xavier’s High School & Junior College
Skills
Good knowledge and understanding of Risk Management, Capital Markets, Investment Banking
A high level of independence, initiative, planning and good judgment
Well organized and methodical and thorough approach to work
Strategic communication management professional
Multitasking Abilities
Accomplishments
- Successfully testing of TCS Software. Development & implementation of various Risk parameters for Go Live.
- Successfully drafted Risk Management Policy and seek approval from board.
- Successfully done scrip basket profiling for MTF Basket.
- Currently testing of TSS Surveillance Software. Development & implementation of various Risk parameters for Go Live.
- Successfully Tested and Implementation of Omninest software (Institutional RMS).
- Successfully Implemented Institutional RMS Processes.
- Successful testing and implementation of TCS Software.
- Successful testing and implementation of ODIN 10.0.02 version
Certification
Certificate of Completion (SEBI – Investor Certification Exam) Certification in Future & options (Derivative trading).
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Timeline
Vice President – Risk Management
SUNASA PLANETEOUS PVT LTD
01.2026 - Current
Vice President – Risk Management
YES SECURITIES
12.2022 - 01.2026
Senior Manager – Risk Audit & Compliance
IDBI CAPITAL MARKETS LTD
04.2010 - 11.2022
Manager – Risk Management & Surveillance
SBI CAP SECURITIES LTD
06.2006 - 04.2010
Bachelors of Commerce - Accounting
Mumbai University
04.2001 -
S.S.C - undefined
St. Xavier’s High School & Junior College
H.S.C - undefined
National Education Society High School & Junior College
KEY RESULT AREAS
- Provide oversight and challenge of the firm's systems and controls with respect to risk management.
- Design and implement an overall risk management process which includes an analysis of the financial impact on the firm when risks occur.
- Perform Risk Assessments with department heads by analyzing current risks and identifying potential risks that could affect the company.
- Prepare and maintain internal and external data gathering for risk analysis and reporting.
- Deliver regular risk analysis reports to the Board complete with actionable plans for avoiding or preventing potential threats at all levels.
- Ensure the adequacy of risk information, risk analysis and risk training provided to members of the firm's governing body.
- Create and implement Business Continuity Plan (BCP) and Disaster Recovery (DR) plan to mitigate risks.
- Undertake clear and regular process for the on-going monitoring of risk policies to ensure that they remain appropriate, current and robust.