Meghaswi D R
Bangalore
Summary
Resourceful trade surveillance analyst with a proven track record at Securities, excelling in investment advisory and financial planning. Expert in market analysis and regulatory compliance, I have successfully enhanced client portfolios and satisfaction. Adept at building strong customer relationships while achieving business targets, I bring both analytical skills and a client-focused approach to every engagement.
Overview
18
18
years of professional experience
1
1
Certification
Work History
Trade Surveillance Analyst
HSBC
Bangalore
09.2022 - Current
- Identify and assess emerging forms of staff or counterparty misconduct relevant to the business or asset class.
- Evaluate the ability of current surveillance systems, processes, personnel, and data sets to detect newly identified risks.
- In collaboration with the Product Management and Transformation Team, prioritize enhancements to surveillance capabilities (systems, processes, data, and personnel) to address detection gaps.
- Provide input into, and track the progress of, the development and implementation of new or improved surveillance tools and methodologies.
- Review and manage alerts passed through the initial Level 1 filtering by offshore teams, conducting deeper analysis as required.
- Ensure all alerts are appropriately escalated, investigated, and resolved in line with policy and risk appetite.
- Offer ongoing support, training, and quality assurance to the offshore surveillance function to ensure consistency and effectiveness.
- Take a holistic view of alert data to identify inefficiencies, common themes, or control weaknesses, and recommend improvements to alert generation logic.
- Conduct investigations into specific practices, business lines, individuals, or events as requested by regulators, senior management, or business leads.
- Escalate any significant findings or confirmed instances of misconduct uncovered during investigations to appropriate stakeholders.
- Coordinate or produce regular management information (MI) reports, including insightful analysis of key trends and risks for internal stakeholders.
- Build and maintain strong relationships with front office, compliance, and support function stakeholders to ensure alignment and effective risk mitigation.
- Assist in the roll-out and implementation of new surveillance tools, models, and analytics capabilities across the team.
- Represent the Surveillance function at internal governance forums and control committees, presenting key findings and updates.
- Support the resolution of audit issues, internal reviews, and regulatory inquiries related to the Surveillance function.
- Collaborate closely with Technology and Transformation teams to support the timely delivery of surveillance-related change initiatives.
- Analyze structured and unstructured data sets to detect anomalies, behavioural patterns, or indicators of misconduct.
- Apply understanding of financial products and HSBC’s business processes to interpret data within the appropriate business context.
- Work across multiple platforms and systems (e.g., trade surveillance, analytics tools, trading systems) to support end-to-end surveillance activities.
Relationship Manager
HDFC Securities
08.2021 - 09.2022
- Responsible for managing and growing client relationships by providing investment advisory, financial planning, and trading services. The role involves acquiring new clients, understanding their financial goals, recommending suitable investment products (equity, derivatives, mutual funds, insurance, etc.), and ensuring high customer satisfaction. The Relationship Manager also tracks market trends, supports clients in executing trades, and works towards achieving business targets while maintaining compliance with regulatory guidelines.
Equity Dealer
Jones wealth management
06.2019 - 08.2021
- Responsible for executing buy and sell orders in equity markets on behalf of clients while ensuring accuracy, speed, and compliance with regulatory guidelines. The role involves monitoring stock market movements, providing real-time trade support, coordinating with Relationship Managers/Advisors, and maintaining client portfolios efficiently. The Equity Dealer also ensures proper trade confirmations, risk management, and adherence to internal processes to deliver seamless client service.
Assistant Manager personnel banker
HDFC Bank
01.2013 - 06.2013
- Responsible for managing customer relationships at the branch, providing end-to-end banking services, and cross-selling financial products such as savings accounts, loans, insurance, and investment options. The role involves handling customer queries, ensuring smooth transactions, maintaining compliance with banking policies, and contributing to branch business growth while delivering excellent customer service.
Asst. Manager Dealing
Kotak Securities Limited
07.2011 - 09.2012
- Dealing at Kotak Securities Limited is responsible for executing equity, derivatives, and other market transactions on behalf of clients with accuracy and compliance. The role includes monitoring market movements, providing trade-related support, coordinating with clients and relationship managers, ensuring timely order execution, and adhering to regulatory as well as internal risk management guidelines.
Equity Dealer
Sharekhan
Bangalore
01.2008 - 05.2011
- Executed trading strategies for equities, optimizing client investment portfolios.
- Managed client relationships, providing timely updates on market developments.
- Utilized trading platforms to execute orders swiftly and accurately.
- Educated investors on different types of securities available in order to help them make sound decisions.
Education
MBA/PGDM - Finance
Bangalore University
Bangalore01.2007
Bachelor of Science - Physics Maths Geology
University of Mysore
Mysore01.2005
Skills
- Trade surveillance
- Investment advisory
- Financial planning
- Portfolio management
- Market analysis
- Regulatory compliance
Certification
- NCFM
Languages
Kannada
First Language
English
Intermediate (B1)
B1
Hindi
Intermediate (B1)
B1
References
References available upon request.
Timeline
Trade Surveillance Analyst
HSBC
09.2022 - Current
Relationship Manager
HDFC Securities
08.2021 - 09.2022
Equity Dealer
Jones wealth management
06.2019 - 08.2021
Assistant Manager personnel banker
HDFC Bank
01.2013 - 06.2013
Asst. Manager Dealing
Kotak Securities Limited
07.2011 - 09.2012
Equity Dealer
Sharekhan
01.2008 - 05.2011
MBA/PGDM - Finance
Bangalore University
Bachelor of Science - Physics Maths Geology
University of Mysore
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