SMARTS
Shantanu Upe
Director , ISG Trade Surveillance
Mumbai
Summary
Meticulous Compliance analyst well versed in Compliance, due diligence and investigations. Hardworking, reliable and resourceful with an analytical mentality. Over 7 years of total experience spanning from trading in Financial markets to being currently performing Quality checks on Surveillance Teams. A Subject Matter Expert in the Rules and Regulations related to Multiple Securities exchanges with a practical understanding regarding order flow mechanism, Reference Price Calculations and Market Abuse Analysis.
Overview
8
8
years of professional experience
3
3
Certifications
4
4
years of post-secondary education
Work History
Director
Morgan Stanley
Mumbai
09.2022 - Current
- Part of ISG Trade Surveillance Strategy team responsible for Oversight and implementation of Trade Surveillance
- Undertook Quality Assurance checks for Trade Surveillance alerts reviewed by analyst
- Market abuse surveillance implementation and calibration (e.g. detection scenarios, instance identification, parameter setting and tuning)
- Presentation of Monthly metrics to Regional leads to monitor analyst performance and update on the overall functioning of the process
Assistant Manager - Regulatory Compliance
HSBC
Bangalore
04.2021 - 09.2022
- Undertook Independent Quality assurance checks on Ecommunication and forex thorough surveillance and monitoring teams.
- Review, Investigate, Feedback on alerts worked through Surveillance teams.
- Performed Daily quality monitoring tests that ensure risks within the monitoring plan are mitigated.
- Maintain company Internal control standards including the timely implementation of internal and external audit points together with any issues raised by external regulator.
- Stayed current with latest changes to applicable regulatory standards and company procedures.
- Prepared MI for various stakeholders and presented the same
Deputy Manager
Kotak Securities
Nagpur
08.2017 - 03.2021
- Have been trading in Financial Markets on behalf of clients of the bank in Equity, derivatives and forex.
- Managed portfolios according to established risk strategies.
- Advised clients according to thier risk appetite.
- Suggested hedging opportunities for risk management of the client.
- Analyzed industry and company trends to develop customized strategies.
- Maintained harmonous relationships with various stakeholders.
- Collaborated with analyst and coverage trades to distribute relevant market information.
Equity Advisor
Karvy Stock Broking Ltd
Hyderabad
07.2016 - 07.2017
- Worked with clients to support understanding of rationale and details of financial strategies.
- Assisted clients with preparing financial plans, conducting investment research, and completing trades and transactions to assess and meet financial goals.
- Helped individuals and families build and execute wealth management strategies based on unique goals and objectives.
- Educated clients on various financial matters and provided professional recommendations on investment opportunities, products, and services based on each clients' individual needs.
Education
Bachelor Of Commerce - Finance
NAGPUR UNIVERSITY
Nagpur 06.2012 - 05.2016
Skills
Audit
Certification
NISM SERIES X CURRENCY DERIVATIVES
Software
Bloomberg
Refinitiv Eikon
MS Excel
Timeline
Director
Morgan Stanley
09.2022 - Current
Assistant Manager - Regulatory Compliance
HSBC
04.2021 - 09.2022
NISM SERIES X CURRENCY DERIVATIVES
04-2020
NISM SERIES VIII Equity Derivatives
03-2020
Deputy Manager
Kotak Securities
08.2017 - 03.2021
Equity Advisor
Karvy Stock Broking Ltd
07.2016 - 07.2017
Bachelor Of Commerce - Finance
NAGPUR UNIVERSITY
06.2012 - 05.2016
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