Raunak Sharma
Assistant Manager -Trade Surveillance
Asansol
Summary
Finance professional with deep expertise in trade surveillance, market abuse risk, and compliance management, specializing in derivatives, equity, and forex markets. Proven track record in analyzing and addressing alerts, identifying areas for process improvement, and ensuring strict regulatory compliance. Strong collaborator with global teams, leveraging data-driven insights to support decision-making and provide senior management with actionable recommendations for business growth and risk mitigation.
Overview
4
4
years of professional experience
5
5
years of post-secondary education
5
5
Certifications
3
3
Languages
Work History
Assistant Manager – Trade Surveillance
HSBC
08.2023 - Current
- Managing the NICE ActOne, Actimize, Trading-Hub, and surveillance systems to review, investigate, escalate alerts, and mitigate market abuse and manipulation risks at L1 such as Insider Trading, Insider Dealing, Ramping, Spiking, Front Running, Share Dealing restriction List and other related modules
- Performing daily, weekly, and monthly control to identify market risks and evaluate surveillance efficiency, and updating daily, weekly, and monthly Management Information (MI) reports
- Assisting in User Acceptance Testing (UAT) for the modules migrating or newly developed monitoring tools and ensuring seamless implementation
- Aligning with organizational goals to address compliance gaps and implement efficiency improvements by providing FTE savings across multiple modules, reducing false positives, and offering cost-efficiency ideas for implementation
- Collaborated with both onshore and offshore stakeholders on multiple projects, encouraged a speak-up culture within the team, and maintained healthy relationships to foster a collaborative and transparent work environment, ensuring adherence to global regulatory standards
- Contributed to the Working Cost and Efficiency Group, AI Ambassador Campaign, and volunteered in various initiatives at HSBC to promote operational efficiency and community engagement.
- Collaborated with global teams on projects, discussions, and RM Deck updates, ensuring timely delivery of error-free BAU work without missing deadlines, Before time PLA and SLA completed.
Derivatives Analyst
Naples Plus
05.2021 - 08.2023
- Analyzed dark pool data for indices, equities, and ETFs to identify pricing patterns in US markets
- Monitored whales’ positions in the options market, focusing on SPX and NASDAQ instruments
- Leveraged CME Direct software to track institutional block trades in options
- Presented comprehensive reports to senior management based on market data analysis
- Engaged with clients to understand requirements and deliver tailored F&O data solutions
Business Development Intern
StocksMonk
10.2020 - 01.2021
- Conducted cold calls to identify client requirements and offer suitable financial products
- Addressed client queries and resolved issues related to content access and materials
- Maintained detailed documentation and submitted daily activity reports to senior management
Education
Bachelor of Business Administration - Finance
IFIM Business School
Bengaluru, India 07.2018 - 09.2021
Senior Secondary Education - Commerce
St. Vincent High School
04.2016 - 03.2018
Skills
Risk & Compliance
Certification
NISM Series VIII – Equity Derivatives
Projectsandachievements
- Spearheaded initiatives to optimize surveillance processes, reducing false positives by identifying threshold inefficiencies.
- Actively collaborated with cross-functional teams to enhance compliance mechanisms, ensuring robust adherence to regulatory requirements.
- Developed detailed market analysis presentations for senior stakeholders, aiding strategic decision-making.
Spending time with loved ones, Driving, Exploring Foods, Love Nature
I enjoy spending quality time with loved ones, driving, exploring diverse cuisines, and immersing myself in nature. These activities help me recharge and maintain a balanced lifestyle.
Timeline
Assistant Manager – Trade Surveillance
HSBC
08.2023 - Current
NISM Series VIII – Equity Derivatives
08-2022
Derivatives Analyst
Naples Plus
05.2021 - 08.2023
Fundamental and Technical Analysis – Zerodha Varsity
03-2021
Business Development Intern
StocksMonk
10.2020 - 01.2021
Entrepreneur Management – MyCaptain
05-2020
Marketing & Advertisement – MyCaptain
03-2020
Finance and Stock Market – MyCaptain
02-2020
Bachelor of Business Administration - Finance
IFIM Business School
07.2018 - 09.2021
Senior Secondary Education - Commerce
St. Vincent High School
04.2016 - 03.2018
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