Samridhi Jain

Experienced and detail-oriented regulatory crime analyst with expertise in trade surveillance, compliance operations, and process optimization. Skilled in investigating trade transactions, mitigating risks, and enhancing operational efficiency. A strong collaborator with a track record of delivering accurate results under pressure and ensuring regulatory adherence.

Manager - Trade Surveillance at HSBC (2023-01 – 2026-07)

• Promoted as Manager, spearheading trade surveillance investigations for US region, overseeing a team of 10 analysts and monitoring potential market abuse including insider dealing, spoofing/layering, market manipulation and unusual trading activity.
• Driving surveillance control effectiveness and optimization through periodic threshold reviews, scenario tuning, and calibration, reducing false positives and improving overall monitoring efficiency.
• Managing key stakeholder relationships and collaborating with internal and external partners to strengthen surveillance framework, address control gaps and implement process improvements.
• Coaching and mentoring a team of analysts while overseeing complex investigations, quality assurance, DIM's and continuous improvement of surveillance process.

Assistant Manager – Surveillance at HSBC (2021-01 – 2023-12)

• Monitored and investigated trade transactions for suspicious activities for Insider Dealing, Front Running and multiple market manipulation practices using Actimize, ensuring compliance with global regulations and regulatory crime standards.
• Successfully identified and escalated red flags and potential risk by analysing alerts generated by different monitoring systems that includes Actimize, SDEP and THUB (MAST)
• Conducted User Acceptance Testing (UAT) for Trade Transformation Projects, streamlining monitoring systems and frameworks.
• Identified control gaps and proposed actionable improvements to strengthen compliance and risk management processes.

Senior Financial Analyst at Deutsche Bank (2020-01 – 2021-12)

• Handled the middle office reporting function, facing the trader's desk.
• Catered to multiple BCU (Business Closure Unit). Later supported the Agency loans and financing division.
• Assisted in onboarding of specific region adhering with the compliance and audit intricacy.

Financial Analyst – Cash Equities Operations at Goldman Sachs (2017-01 – 2019-12)

• Managed India Broker and Dealer Operations for Cash Equities, overseeing the trade lifecycle process to ensure accuracy and compliance.
• Investigated and resolved high-priority client issues, improving satisfaction and retention.
• Optimized internal workflows by addressing recurring software errors, reducing operational inefficiencies by 20%.
• Collaborated with cross-functional teams to ensure seamless execution of regulatory and operational processes.

PGDM in Finance and Data Analytics – Great Lakes Institute of Management (2020-01 – 2021-12)

Bachelor of Commerce in Finance & Accounting Affiliated CA – Christ University (2014-01 – 2017-12)