Rajesh Seena Devadiga

• Department: Core Compliance
• Process: E-Communication Surveillance and Trade Surveillance.

Roles and Responsibilities

• Collaborating with technology and third-party vendors to integrate both electronic communication and Trade Surveillance(Nasdaq Smarts) channels into the monitoring tool.
• Establishing and maintaining written procedures and governance processes for the E-Communications, Audio Surveillance and Trade Surveillance.
• Actively involved in Data Quality project for Behavox and Nasdaq Smarts.
• Involved in threshold management for Nasdaq Smarts.
• Review of alerts in both Behavox and Nasdaq Smarts.
• Preparing metrics to report monitoring results to senior management, including identifying potential trends or themes that may warrant further consideration or action.
• Involved in various Reporting activities like Monitored Employee Recon, AD group Recon and Data Control Reportings.
• Involved in handling Audit queries.

• Department: Financial Crime Threat Mitigation
• Process: Trade Surveillance and E-Communication Surveillance

Roles and Responsibilities

• Review, investigate and escalate alerts generated by the Global Market Surveillance system
• This system is designed to identify breaches of internal policies relating to information boundaries or individual behavior that may signify potential risks to HSBC and / or its clients', that of Market Abuse risk
• Review, investigate and escalate alerts generated by the Surveillance system for various modules under Insider trading and Market manipulation scenarios, designed to identify breaches of internal policies surrounding Information Boundaries or individual behavior practices particular to Market Abuse risks
• Check the alerts closed to ensure that all quality related parameters are met by the team
• Escalate instances of irregularities to regional hubs
• Produce MI & other reports on monthly basis to onshore
• Handling Stakeholder queries
• Providing training to new joiners on Process
• Supporting Management with Adhoc/Audit queries
• Conducting process trainings internally
• Conducting internal controls and highlighting gaps

• Department: Regulatory reporting And Operations
• Process: Regulatory Reporting, Shareholder Service and TLM control admin

Roles and Responsibilities

• To provide cash flow details of clients to the Portfolio managers by processing the instructions for Portfolio managers for them to take right decisions
• To provide accurate details as this is the first step in investment
• Providing different reports to client on a daily basis
• Handling calls with onshore team for weekly meetings also during process updates
• Performing substantial shareholding report where investment exceeds the threshold limit as per the specified guidelines in each country and the same to be intimated to the regulators
• Performing French exposure reporting where investment exceeds the threshold as a part of compliance
• Perform Rule 8.3 Regulatory reporting where any company undergoing a merger and acquisition which is breaching the threshold would be reported to the regulator
• Perform activities like Section 793 and Exposure reporting as a part of Compliance
• Perform short holding reporting to the regulatory control team for the country exceeding threshold
• Performing Quality checks for all the activities done in the team and to provide sign off
• To create documents and procedures wherever required and also train the new hires on the process
• Helping peers to analyze exceptions and fixing the problem
• Loading feeds manually in to TLM for the reconcilers to reconcile their funds
• To generate reports of exceptions which are of high risk and aged breaks
• To help setup funds on TLM so that feeds through SWIFT is flown to TLM smoothly.

Roles and Responsibilities

• To provide cash flow details of clients to the Portfolio managers by processing the instructions for Portfolio managers for them to take right decisions
• Dividend Processing -
• To post mutual fund/UTI dividends to client's account
• To post the reinvested dividend amount as a trade
• To ensure posting of income are accurate and reducing rework
• Pre and post reconciliation of accounts
• Verify diversified transactions, and portfolio reports, and research discrepancies daily
• Updating narrations on all pending vouchers and chasing registrars for tax vouchers
• Maintaining Process update log to capture solutions for recent/ difficult scenarios
• Respond to internal and external inquiries, initiating follow up inquiries or independently resolving exceptions
• Checking & responding the urgent & escalation quires under group inbox as well as in personal inbox
• Training New hires.
• Helping peers to analyze exceptions and fixing the problem.
• Monitoring SLA & ensuring teams deadlines are met and processed within the cut off without any financial impact.