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JENIL SANGHVI
Associate
Mumbai
Summary
Compliance and Trade Surveillance professional with 2+ years of experience across global financial institutions. Strong expertise in Employee Trading Compliance (PAD), trade surveillance, pre-clearance reviews, and risk mitigation. Proven ability to manage high-volume reviews with >98% accuracy while meeting strict SLAs.
Overview
6
6
years of professional experience
1
1
Certification
1
1
Language
Work History
Associate – Compliance (Employee Trading)
Morgan Stanley
01.2025 - Current
- Monitor 10,000+ monthly employee trades across equities, derivatives, and mutual funds to ensure adherence to Personal Trading and Code of Conduct policies.
- Process 200–300 daily requests, performing restricted list checks, holding-period validations, and MNPI exposure assessments.
- Investigate 50–100 weekly exceptions, including front-running indicators and delayed disclosures; document findings and escalate breaches.
- Manage daily data feeds and reconciliations with 25+ external brokers to ensure 100% account disclosure compliance.
- Prepare periodic MIS reports on breach trends and trade volumes for senior leadership; support internal audits with control descriptions.
Consultant – Connectivity Consulting Group
Arcesium
03.2024 - 09.2024
- Analyzed trade and position data across 15+ financial products to support reconciliation and client reporting.
- Coordinated integration of connectivity tools, improving real-time data accuracy across multiple client portfolios.
- Strengthened reconciliation frameworks between broker and custodian data to enhance compliance accuracy.
Portfolio Valuation Intern
Oxane Partners
02.2023 - 05.2023
- Developed an interest-calculation tracking system for 200+ loans, adopted by 10+ finance team members for enhanced efficiency.
- Managed real estate loan portfolios, implementing strategies that improved recovery rates by an estimated 15% within three months.
Sales Associate
Supreme Corporation
03.2020 - 03.2022
- Reduced production lead times from 12 weeks to 8 weeks by streamlining project execution processes.
- Conducted market research to identify customer preferences, optimizing product development by 20%.
- Introduced four unique fabric patterns based on cultural motifs, receiving 80%+ positive feedback from target customers.
Education
MBA - Finance
ICFAI Business School (IBS)
MumbaiBachelor of Commerce (B.Com) - undefined
Kishinchand Chellaram (KC) College
MumbaiSkills
Trade surveillance and compliance
Operations: Investigations & Exception Management, MIS Reporting, Audit Support, Reconciliations
Technical: MS Excel (Advanced), Surveillance & Monitoring Tools, Data Analysis
Teamwork and collaboration
Friendly, positive attitude
Microsoft office
Problem-solving
Time management
Flexible and adaptable
Multitasking
Microsoft Word
MS office
Data entry
Calm under pressure
Organization and time management
Accomplishments
- Resolved product issue through consumer testing.
- Supervised team of 2 staff members.
Certification
Licensed
Interests
Timeline
Associate – Compliance (Employee Trading)
Morgan Stanley
01.2025 - Current
Consultant – Connectivity Consulting Group
Arcesium
03.2024 - 09.2024
Portfolio Valuation Intern
Oxane Partners
02.2023 - 05.2023
Sales Associate
Supreme Corporation
03.2020 - 03.2022
Bachelor of Commerce (B.Com) - undefined
Kishinchand Chellaram (KC) College
MBA - Finance
ICFAI Business School (IBS)