Jugjit Singh

Compliance Officer

Delhi, India11 yrs 3 mos experience

Most Likely To SwitchHighly Stable

Key Highlights

Over 10 years of experience in Trade Surveillance
Expert in compliance management and regulatory frameworks
Proven track record in team leadership and process improvement

Stackforce AI infers this person is a Fintech Compliance and Surveillance Expert with extensive experience in trade monitoring and regulatory compliance.

Contact

Skills

Core Skills

Trade SurveillanceCompliance Management

Other Skills

ACA GlobalALADDINAnalytical SkillsBTCA/BloombergBest ExecutionBloomberg TerminalChargebacksCommunicationCritical ThinkingMarket abuseMicrosoft ExcelPeople ManagementProblem SolvingRegulatory ComplianceRelativity Compass

About

Result oriented professional with more than 10 years of experience in the domain of Trade Surveillance, Compliance and Banking. Positive, energetic demeanor creates constructive and cooperative working relationships within a team setting. Operates successfully in a highly competitive fast paced environment and a diligent, driven team player who interfaces with team members at all levels to meet and exceed organizational goals.

Experience

Ameriprise financial services, llc

2 roles

Group Lead

Promoted

Feb 2025 – Present · 1 yr 1 mo · Noida, Uttar Pradesh, India · Hybrid

Supervised a team of 3 surveillance analysts and performed second level reviews of raised exceptions.
Monitoring of alerts/Exceptions like Suspicious Trades, Insider trading, Front running, Wash trades, Marking the close, Marking the Open, Layering & Spoofing and Ramping.
Responsible for investigation, follow up, closure and reporting on all escalated exceptions.
Prepared ad hoc reports and monthly MI for senior management, internal audit, legal and regulators.
Responsible for periodic reviews of various surveillance policies and procedures and updated as needed.
Work constructively with risk & compliance colleagues on all matters, including devising, implementing and maintaining policies & procedures.
Work on matters of diverse scope where analysis of data requires evaluation and recommendation of action regarding identifiable factors.
Work on processes such as Market Abuse & Manipulation, Timely Execution & Best Execution.
Experience with the systems Relativity Compass, ALADDIN, Tradeweb, ACA Global and BTCA/Bloomberg.
Proactively provide insights and recommendations for continuous process improvement

Trade SurveillanceCompliance ManagementMarket abuseBest ExecutionTimelinesTeam Leadership+7

Compliance Lead

Jul 2022 – Feb 2025 · 2 yrs 7 mos · Noida, Uttar Pradesh, India · Hybrid

Bank of america

Team Developer

Jan 2017 – Jul 2022 · 5 yrs 6 mos · Gurugram, Haryana, India

Surveillance & Monitoring of trades to identify unusual trading patterns thereby controlling the price manipulation and instances of market abuse.
. Analyze alerts generated on surveillance application Actimize & SMARTS based on thresholds.
. Trade Surveillance and Investigation in Equity, Derivatives & Fixed Income.
· Monitoring of alerts with the help of surveillance tools like Front running, Wash trades, Marking the close, Marking the Open, Layering & Spoofing and Ramping.
· Knowledge of surveillance tools like Actimize, SMARTS, BTM & Bloomberg.
· Timely preparation of MIS & Monthly Business Review for different business heads and stakeholders.
· Responsible for making an end-to-end parameter review assessment and analysis as a part of the Parameter Review Project.
· Send recommendation & Observation to business stakeholders with current threshold’s nature (Aggressive, Neutral & Conservative).
· Give recommendation for the optimum range for current threshold.
· Check current news, securities details, and trading trends of any specific account on Bloomberg.
· Close or report the test alert with proper commentary and findings.

Trade SurveillanceMarket abuseAnalytical SkillsProblem SolvingCommunication

Royal bank of scotland business

Process Associate

Dec 2014 – Jan 2017 · 2 yrs 1 mo · Gurugram, Haryana, India

Hands-on experience in preventing fraudulent activities by putting in place core anti-fraud initiatives. Skilled in managing complaints in a proactive manner aimed at resolving issues in a timely manner.
· Functional knowledge of minimizing fraud loss and chargeback rates by employing effective detection and prevention methods
· Able to decipher actual claims from untruthful ones by using exceptional analytic skills
· Comprehensive knowledge of financial norms and ensuring compliance to applicable regulations
· Well versed in chargeback processing techniques and incorporating alternative solutions to chargeback issues.
Roles and Responsibilities-
· Confer with clients to determine their complaints regarding unauthorized credit card transactions
· Monitor high alert accounts to identify possible fraudulent activities and suspected transactions
· Contest chargeback claims when viable economically and monitor claims recovery
· Work with clients to collect and document information that may be used in resolving outstanding disputes
· Prepare periodic chargeback management reports and follow up on payments that may need to be made to clients
· Make-certain that all chargeback activities are handled in accordance to statutory requirements