Bhavin Dalal
Mumbai
Summary
Proactive and goal-oriented professional with 21+ years of experience in Capital market operations, Risk analysis & Market Abuse.
Known for excellent time management and problem-solving skills, reliability, adaptability and ability to learn & apply new skills. Committed to leveraging these qualities to drive team success and contribute to organizational growth.
Presently associated with BNP Paribas ISPL as Vice President, managing APAC, EMEA & AMER for FOCS (Front Office Conduct Surveillance).
Overview
21
21
years of professional experience
Work History
Vice President
BNP Paribas India Solutions Pvt. Ltd.
01.2018 - Current
- Front office conduct surveillance (Aug-2020 – Present)
- Front office conduct surveillance (FOCS) is a level 1 control team within the Front Office, and is responsible for putting in place relevant controls to review, investigate and escalate of potential breach. The scope of the team encompasses Trade Surveillance; E-communication & Voice Surveillance over monitored employees of Global Market & Global Banking businesses in bank to identify incidences of market abuse or misconduct.
- DESIGNATION: VICE PRESIDENT
- Overseeing the transition & BAU new scope i.e. Anti-Fraud based out of Mumbai
- Guiding team of 50+ members based out of Mumbai & Chennai supporting AMER, APAC and EMEA for Trade, Ecomms & Voice surveillance
- Monitoring team for process efficiencies across locations supported, resource mapping optimization, change management, query resolutions, conflicts and escalation management and SLA management
- Implementation of Quality Checks (QC) across locations to enhance quality of alert investigation and training need identification
- Collaboration between Trade & Ecomms process with the aim to build holistic alert management & cross training / knowledge sharing sessions to enhance team member’s ability on surveillance
- Leading the governance call with onshore for efficiencies, Risk & challenges in the process
- Electronic Communication Surveillance (Jan 2018 – Aug 2020)
- E-Comm. team is part of the compliance function. Responsible for monitoring and reviewing the electronic communications of authorized and registered employees who conduct trading and sales activity on behalf of the bank, such as brokers, traders and sales staff.
Manager
Oracle Financial Services Software Ltd.
05.2007 - 01.2018
- Company Overview: This US firm is one of the world’s pre-eminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary and individual investors around the world.
- Investment Services
- DESIGNATION: MANAGER
- Reference Data
- Security setup of all the financial products in Aladdin
- Validating all the time series data of all financial products
- Handle the entire Corporate Action (CACS) for the related securities like dividend stock split, Delisting, Acquisition, etc.
- Analysis of securities on the basis of duration, convexity, spreads and yield
- Understanding the global scenario of fixed Income Economy and applying thoughts in day to day QC of Analytics
- Leverage Finance
- Perform Settled/unsettled position reconciliation of the Loan securities data visa-vice third party vendor
- Performing Quality control checks for all the loans securities held in portfolio
- DART (DATA ASSURANCE FOR REPORTING)
- Performing Quality control checks of the data pre / post of factsheets reports
Team-Member
Globeop Financial Services (India) Pvt. Ltd.
06.2005 - 05.2007
- Company Overview: Globeop Financial Services (GFSSM) that offers automated, Middle and Back-Office Support Services and Fund Administration for Hedge Funds, Fund Managers and High Net Worth Family Wealth Managers. Globeop provides independent services essential to the successful launch and operation of private investment entities with activities ranging across a wide spectrum of traded instruments.
- Data Management Control & Pricing
- DESIGNATION: TEAM-MEMBER
- Setting up New Issues for Federals, Municipals & Corporate (ABS, MBS, CLO, and CMO) from various data sources in CSM and Geneva Accounting System
- Handle the entire Corporate Action (CACS) for the related securities like dividend stock split, Delisting, Acquisition, etc.
- Static Data updates for Equities, Bonds, Mortgages and other type of instruments
Audit assistant
Deepa Shastri & Associates
01.2005 - 05.2005
Trainee
Bansi S Mehta & Co.
04.2004 - 11.2004
Education
PG Diploma - Securities Law
Government Law College
01.2025
Master - Financial Management
University of Mumbai
01.2009
Bachelor of Commerce - undefined
University of Mumbai
01.2004
Skills
- Excellent in time management
- Problem Solving
- Critical Thinking
- Collaboration
- Coaching and mentoring
- Risk management
- Strategic planning
- Team leadership
Hobbies and Interests
Reading, Music, Travel, Playing Cricket
Interest
Reading Books, Listening Music, Travelling
Timeline
Vice President
BNP Paribas India Solutions Pvt. Ltd.
01.2018 - Current
Manager
Oracle Financial Services Software Ltd.
05.2007 - 01.2018
Team-Member
Globeop Financial Services (India) Pvt. Ltd.
06.2005 - 05.2007
Audit assistant
Deepa Shastri & Associates
01.2005 - 05.2005
Trainee
Bansi S Mehta & Co.
04.2004 - 11.2004
Master - Financial Management
University of Mumbai
Bachelor of Commerce - undefined
University of Mumbai
PG Diploma - Securities Law
Government Law College
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