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.
