Maithili Save
Mumbai
Summary
To seek a position of responsibility, which will allow me to contribute proactively in achieving the organizational objectives while moving ahead on a path of professional growth and self-improvement.
Skilled professional with 15 years of experience in Trade Surveillance. Operates successfully in highly competitive environment, team player to meet & exceed organizational goals.
Overview
17
17
years of professional experience
Work History
AVP (Communication & Trade Surveillance)
Deutsche India Pvt Ltd
Mumbai
06.2019 - Current
- Conducting trade (including employee trades) & information barriers surveillance via Smarts & internal surveillance system across equity, fixed income and derivatives trading in alignment with global financial services laws and regulations
- Escalation of suspicions trading activity to relevant compliance team
- Conducting E-communication & Voice Surveillance
- Escalation of suspicious communication to Stakeholders
- Maintaining data for trend analysis
- Preparation & presentation of MI reports for various forums
- Carrying out UAT for various enhancements in Surveillance system
- Cross-Training of Surveillance Scenarios to other Team Members & quality analysis
Manager (Surveillance)
BSE Ltd
Mumbai
02.2007 - 05.2019
- Carried out investigation and L2 review of investigation reports prepared by subordinates in the securities identified by the BSE Surveillance System for price-volume manipulation / insider trading / circular trading / front running etc
- Took necessary action against trading member / broker as per the findings
- Informed actions taken by the Exchange and submitted investigation reports to the Regulator
- Prepared MI Reports with a view to apprise management of the operations and assist in decision-making process
- Carried out Employee Trade Surveillance
- Suspicious transaction reporting (STR) done to FIU
- Carried out spot inspection of Companies listed at BSE.
Education
MMS (Finance) -
N.L.Dalmia Institute of Management Studies & Research, Mumbai University
06.2007
BMS (Finance) -
Patkar College, Mumbai University
06-2004
Skills
- Surveillance & Investigation
- Quality Analysis
- User Analysis & Testing
- Training
- MI Reporting
Applications
- Conversant with MS Word, Excel & PowerPoint
- Smarts
Additional Qualification
- Diploma of Export-Import from Export Trade & Training Institute (IMC Recognised)
- Training on SEBI’s Substantial Acquisition and Takeover (SAST) and Prohibition on Insider Trading (PIT).
- Successfully completed BSE's Certification Program on Capital Markets (CPCM).
Accomplishments
- Attended Intermarket Surveillance Group Conference held at San Francisco, USA in May 2017 with representatives of Stock Exchanges & Regulatory Bodies from 13 other countries
- Successfully implemented case management system during BSE tenure
Affiliations
- Participated & won corporate Cricket & Badminton Tournaments
- Bird watching enthusiast
Languages
Marathi
First Language
English
Proficient (C2)
C2
Hindi
Proficient (C2)
C2
Timeline
AVP (Communication & Trade Surveillance)
Deutsche India Pvt Ltd
06.2019 - Current
Manager (Surveillance)
BSE Ltd
02.2007 - 05.2019
MMS (Finance) -
N.L.Dalmia Institute of Management Studies & Research, Mumbai University
BMS (Finance) -
Patkar College, Mumbai University
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