Namish Sarode — Compliance Officer

19+ years of experience in Market Conduct roles, I have a strong background in crypto and trade surveillance and e-communications monitoring, as well as managing surveillance teams and implementing new surveillance programs.- In my current role as Regional Head of Crypto Surveillance, I oversee 35+ crypto venues, managing end to end surveillane and lead weekly escalation calls with Regional Compliance, Risk and Trading supervision Heads.- Lead monthly and quarterly calls with trading teams, presenting alert statuses and discussing open escalations.- Generate reports for regulators and internal stakeholders.- Key part of the pioneer team that set up crypto surveillance models globally, including testing, parameter calibration, data validation, and alert quality checks.- Innovation and Automation - Partner with AI/ML Teams to automate surveillance processes, reduce false positives and improve investigate efficiency.- Extensive experience reviewing surveillance alerts from NASDAQ’s SMARTS surveillance system across multiple asset classes and cryptocurrencies to identify potential market abuse and market manipulation patterns (spoofing, wash trading, layering).- Skilled in maintaining and enhancing automated surveillance programs through periodic alert parameter reviews, calibrations, and drafting internal procedures.- Detailed working knowledge and surveillance expertise in SMARTS, Actimize, and KX surveillance tools for Trade and Cryptocurrency surveillance, including designing, back-testing and fine tuning models, parameter reviews, and deployment of new alerts.- Proficient in Excel and experienced in working with large datasets.- Work closely with infra teams and ML and automation teams to build and enhance internal tools to improve the quality of alerts and identify potential data risks.- Work with BM teams to help setup surveillance on new venues or onboarding of new teams.My prior experience:- Head of Monitoring Surveillance and Controls - UBS India managing a team of 22 members- Lead QA Trade surveillance program end to end for APAC region.- Multiple experiences of setting up new Surveillance teams and transitioning markets and new modules from various regions. - Performing Info barrier checks for Grey List & Restricted List stocks for Employees and Traders.- Team Management, Hiring, Appraisals, Reporting’s, efficiency building and automations.- Exposure to AML, Employee Trading or PAD, Controls & Regulatory Shareholding Disclosures, Control room functions.

Stackforce AI infers this person is a seasoned compliance professional in the Fintech industry, specializing in trade and crypto surveillance.

Experience: 20 yrs 6 mos