Sagar Bansal

Recruiter

Delhi, India11 yrs 11 mos experience

Most Likely To SwitchHighly Stable

Key Highlights

Expert in trade surveillance across multiple financial products.
Proficient in regulatory compliance and MIS reporting.
Strong leadership experience in managing trade surveillance teams.

Stackforce AI infers this person is a Trade Surveillance Specialist in the Fintech industry.

Contact

Skills

Core Skills

Trade SurveillanceRegulatory CompliancePost Trade Surveillance

Other Skills

DerivativesEconomicsEquitiesFixed IncomeManagementManagement Information System (MIS)Microsoft ExcelMicrosoft OfficeMicrosoft PowerPointReportingSmarts BrokerSurveillance Across RegionsSurveillance Parameters OptimizationTeam LeadershipTeamwork

Experience

Tower research capital

Compliance Officer

Nov 2017 – Present · 8 yrs 4 mos · Gurgaon, India

Conducting comprehensive surveillance across a diverse range of financial products, encompassing equities, fixed income, commodities, futures and options, and cryptocurrency.
Preparation and presentation of Management Information System (MIS) reports, serving as a valuable resource for business, supervision, and management.
Fine-tuning surveillance parameters to optimize detection capabilities, coupled with meticulous documentation to ensure regulatory compliance and transparency.

Trade SurveillanceManagement Information System (MIS)Regulatory ComplianceSurveillance Parameters Optimization

Bank of america merrill lynch

Team Lead

Aug 2016 – Nov 2017 · 1 yr 3 mos · Gurgaon, India

Part of GBAM Trade surveillance team, which is an extended arm of regional trade surveillance teams. Currently I am aligned to US regional team mainly covering commodities and fixed income.

Trade SurveillanceTeam Leadership

Morgan stanley

Analyst

May 2014 – Aug 2016 · 2 yrs 3 mos · Mumbai

Conducted post trade surveillance of Institutional Securities Business (formerly known as ISG) as part of Global Compliance Team based out of Mumbai. Scope of work included, conducting surveillance across multiple regions (APAC, Japan, EMEA and US) and product lines (Equity, Listed Derivatives, ETFs, REITs, Fixed Income & OTC products) with extensive use of applications like Smart Broker and Actmize. Darkpool monitoring was part of my BAU as well.
Apart from surveillance activities, prepared and presented monthly information reports for senior compliance leadership and on-shore counterparts. Conducted user acceptance testing for parameter enhancements and new model rollouts in close conjunction with IT teams.

Post Trade SurveillanceUser Acceptance TestingSurveillance Across RegionsReporting