Fahad Kapadia
Mumbai
Summary
Seasoned trade surveillance professional with extensive experience in exchanges, depository, and stockbroking functions. Demonstrated expertise in market monitoring, investigation, and regulatory compliance. Proven track record of handling time-sensitive tasks, managing risk, performing due diligence, and resolving complex surveillance investigation cases. Strong skills in data analysis and task prioritization, complemented by exceptional communication abilities.
Overview
8
8
years of professional experience
Work History
Manager
Paytm Money Ltd
02.2025 - Current
- Handle overall surveillance activities for broking and depository functions.
- Maintain AML program documentation and design transaction screening parameters.
- Assess, document, and resolve alerts; file STRs with FIU/other regulators.
- Conduct investigations on adverse findings and enhanced due diligence of the high risk clients.
- Liaise with exchanges and depositories on surveillance/investigation matters.
- Prepare MIS on alert monitoring.
Assistant Manager
Groww Invest Tech Private Limited
09.2023 - 02.2025
- Processing of Surveillance alerts to detect possible violation of regulations governing securities market.
- Detecting different kinds of fraud scenarios and market manipulation in equity, F&O and depository.
- Evaluated transaction patterns and customer profiles to identify potential money laundering trends and typologies.
- Presenting STR cases to senior management and reporting the same to FIU India and other regulatory authority.
- Interacted with law enforcement agencies, regulators and financial institutions to coordinate investigations related to fraudulent activities.
- Defining threshold/parameters for alert generated by the internal system for surveillance activity.
Assistant Manager
Bombay Stock Exchange (BSE)
11.2022 - 09.2023
- Monitor Equity Markets (Charts, Stock Prices, Volume movements)
- Analyzing various internal and external alerts based on price volume movement.
- Preparation of Investigation reports of the suspected companies involved in manipulating securities market.
- In-depth understanding of Insider trading, front running, reversal and circular trades.
- Analyzing SCORES & STRs queries reported by SEBI and take appropriate action.
- Understanding of SEBI SAST (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 & SEBI PIT (Prohibition of Insider Trading) Regulations, 2015.
- Liaison with the Exchanges for preparation of joint reports.
- Maintaining various databases & keeping a record of timelines.
Assistant Manager
National Securities Depository Ltd. (NSDL)
07.2021 - 11.2022
- Monitoring of shareholding limits for listed MIIs (Stock Exchanges & Depository) and Debt Investment by Foreign Portfolio Investors
- Analyzing Investigating Off Market transactions/ Surveillance/Exchange Alerts
- Strategic, analytical and other inputs to fine tune existing parameters in accordance with current transaction / fraud trends
- Providing AML alerts generated to the Participants and FIU-IND on fortnightly basis
- KYC reconfirmation on accounts identified during DE-dupe exercise and IPO exercise
- Processing of Orders passed by SEBI & other Statutory Authorities
- Processing of Queries for SEBI, Stock Exchanges & other Statutory Authorities
- Liaison with SEBI and Stock Exchanges for various periodic alerts / reports.
Regulatory Compliance (Dy. Mgr.)
Bombay Stock Exchange (BSE)
01.2018 - 07.2021
- Proper compliance of orders issued by the regulatory authorities viz. SEBI, SAT, NCLT etc.
- Display pro-activeness and take responsibility with regards to withholding of the funds/shares in case of manipulation observed in the market
- Withhold payout of funds/securities of the investors in case of fraud or abnormal trading activity observed in the market
- Create Management Information Reports on a periodic basis
- Replying to queries raised by regulatory authorities
- Draft circulars related to action taken by Regulatory authority.
Education
MBA - Finance
Rustomjee Business School
05.2017
Bachelors in management studies - Management
S.N. College
05.2015
HSC - Commerce
Royal College
05.2012
SSC -
N.H. English Academy
05.2010
Skills
- AML Transaction monitoring
- Suspicious Activity Reporting
- Enhanced Due Diligence
- Strong communication
- Sound analytical and logical skills
- Adaptability to change
Personal Information
- Date of Birth: 15/12/1994
- Gender: Male
- Nationality: Indian
- Marital Status: Married
Certifications
- AML Transaction Monitoring and Suspicious Transaction Reporting (NISM)
- Certified Anti-Money Laundering Manager (CALM)
Timeline
Manager
Paytm Money Ltd
02.2025 - Current
Assistant Manager
Groww Invest Tech Private Limited
09.2023 - 02.2025
Assistant Manager
Bombay Stock Exchange (BSE)
11.2022 - 09.2023
Assistant Manager
National Securities Depository Ltd. (NSDL)
07.2021 - 11.2022
Regulatory Compliance (Dy. Mgr.)
Bombay Stock Exchange (BSE)
01.2018 - 07.2021
MBA - Finance
Rustomjee Business School
Bachelors in management studies - Management
S.N. College
HSC - Commerce
Royal College
SSC -
N.H. English Academy
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