I am a trade surveillance and market abuse compliance professional with experience across global financial institutions, including Wells Fargo, HSBC, Morgan Stanley, and Kotak Mahindra Asset Management Company. I specialize in surveillance operations, alert investigations, risk assessment, and control framework enhancement across fixed income, equities, FX, and derivatives.
I lead teams and surveillance pods, managing daily alert review, escalation, stakeholder expectations, governance reporting, and strategic risk priorities. My experience includes training teams, improving performance, and supporting regional surveillance coverage across EMEA and APAC markets.
I have a strong track record of automating manual surveillance controls and transforming operational processes. I have developed Excel macros, worked with Bloomberg APIs for data extraction, and partnered with change, transformation, and control-owner teams to design, test, and deploy surveillance rules and controls.
My analytical expertise includes reviewing order and trade data, booking patterns, trading rationale, market trends, structured products, and electronic communications to identify potential market manipulation, insider trading, spoofing, and other market abuse risks. I am experienced in escalating suspicious activity and supporting regulatory inquiries and internal investigations.
I also build management information and reporting solutions, including Tableau dashboards, monthly MI and risk management decks, and performance reports. I hold a Post Graduate Diploma in Management in Securities Markets and bring a combination of financial markets knowledge, compliance expertise, leadership, and process improvement capability.
