Ruthvik TM — Operations Associate

With over a decade of work experience in risk and compliance, I am a Trade Surveillance Officer at Tower Research Capital, a leading global trading firm. I monitor and investigate trading activities across various asset classes and markets, using analytical skills and knowledge of financial instruments and derivative operations. I ensure compliance with regulatory requirements and internal policies, and report any suspicious or anomalous transactions. I also collaborate with other teams and stakeholders to provide guidance and support on trade surveillance and compliance matters. Previously, I was a Manager in Risk and Compliance at Deutsche Bank, where I led a team of analysts to conduct trade surveillance and investigations for the global markets division. I was responsible for developing and implementing trade surveillance policies and procedures, enhancing the trade surveillance system and tools, and providing training and feedback to the team. I also liaised with regulators, auditors, and senior management to address any trade surveillance issues or queries. I am passionate about enhancing the integrity and efficiency of the financial markets, and applying my expertise in finance and operations management to mitigate risks and ensure compliance. I hold an MBA from the University of Mysore, a BBM from Bangalore University, and a Diploma in Software Engineering from NICT.

Stackforce AI infers this person is a Risk and Compliance Specialist in the Fintech industry.

Location: Bengaluru, Karnataka, India

Experience: 8 yrs 10 mos