Rahul L. — Associate Partner

Detail-oriented and analytical Trade Surveillance Associate with experience in monitoring, detecting, and preventing trading irregularities in financial markets. Demonstrated expertise in regulatory compliance, market abuse detection, and the implementation of surveillance systems. Adept at analyzing large datasets, generating insightful reports, and maintaining stringent adherence to industry regulations. Committed to upholding the integrity of trading operations through meticulous oversight and proactive risk management. Trade Surveillance Systems (e.g., Actimize, SMARTS) - Regulatory Compliance (SEC, FINRA, MiFID II) - Market Abuse Detection - Data Analysis and Reporting - Risk Management - Financial Markets and Instruments - Communication and Interpersonal Skills - Problem-Solving and Critical Thinking - Project Management - SQL and Excel Proficiency Conduct real-time monitoring and post-trade analysis of trading activities to detect potential violations of market conduct rules and regulations. - Utilize surveillance systems and tools such as SMARTS, Actimize, and other proprietary software to identify and investigate irregular trading patterns, market abuse, and insider trading for High frequency trading and automated trading for all the products. - Perform detailed analysis of trade data, order books, and market events to ensure compliance with regulatory requirements and internal policies. - Collaborate with compliance, legal, and risk management teams to escalate and resolve potential issues, ensuring prompt and effective resolution. - Prepare comprehensive reports and documentation of surveillance findings, including recommendations for corrective actions and process improvements. - Stay abreast of regulatory developments, industry trends, and emerging risks to proactively enhance surveillance methodologies and controls. - Develop and enhance surveillance procedures, contributing to the continuous improvement of the compliance framework. - Train and mentor junior analysts on surveillance techniques and regulatory requirements.

Stackforce AI infers this person is a Fintech professional specializing in trade surveillance and regulatory compliance.

Location: Pune, Maharashtra, India

Experience: 8 yrs 9 mos