Sreenath HG
Bangalore
Summary
Dynamic professional with extensive experience in alert investigation and market abuse detection at Wells Fargo. Proven track record in regulatory compliance and data analysis, enhancing surveillance monitoring processes. Adept at user acceptance testing and fostering team collaboration, driving efficiency in compliance operations. Recognized for delivering actionable insights and maintaining high internal control standards.
Overview
10
10
years of professional experience
Work History
Supervisory Control Associate – Ecomms Surveillance
Wells Fargo International Solution Pvt Ltd
Bangalore
09.2022 - Current
- Conducted alert review investigations using Digital Reasoning tool, escalating relevant alerts to Level-2 as necessary.
- Identified potential breaches related to market abuse, information boundaries, conflicts of interest, and conduct of business.
- Investigated and escalated alerts regarding market abuse, insider trading, and restricted stock dealings generated by DR tool.
- Flagged alerts to Level-2 promptly to ensure timely escalation of potential violations.
- Assisted with user acceptance testing (UAT) for newly developed monitoring tests.
- Drafted procedures manuals and supported initial setup processes.
- Responded to inquiries from onshore business partners efficiently.
- Performed end-of-day checks daily while maintaining internal control standards and addressing audit points.
Assistant Manager- Ecomms Surveillance
Hong Kong and Shanghai Banking Corporation
Bangalore
10.2020 - 09.2022
- Conducted independent surveillance and monitoring to ensure compliance with laws, regulations, and HSBC Group Standards.
- Investigated alerts related to market abuse and insider trading generated by e-surveillance systems.
- Ensured quality parameters were met by the team during alert investigations.
- Performed daily monitoring tests to mitigate risks within the monitoring plan.
- Escalated irregularities to regional hubs for further action.
- Produced management reports for Senior Management, outlining key findings and recommendations.
- Contributed to ongoing system development to enhance monitoring efficiency within the business.
- Demonstrated compliance with internal controls and external regulations relevant to business conduct.
Specialist –Reference Data, Fund Accounting Operations
State Street HCL Services Pvt, Ltd
12.2019 - 10.2020
- Ensured timely resolution of portfolio discrepancies through diligent communication.
- Conducted team meetings to facilitate variance analysis and cross-training initiatives.
- Monitored process metrics weekly/monthly to track KPIs, errors, and incidents accurately.
- Delivered comprehensive pricing and valuation reports on a weekly and month-end basis.
- Collaborated with portfolio managers on pricing methodology and corporate action analysis.
- Valued unvalued securities, enhancing accuracy within client portfolios.
- Utilized Bloomberg/Eikon systems effectively across diverse financial instruments daily.
- Directed a team of analysts, setting goals and evaluating performance standards.
Content Analyst
Thomson Reuters/Refinitiv/London Stock Exchange Group
01.2017 - 11.2019
- Delivered intraday data for global financial instrument pricing, including FX, MM, FI, Energy, and Equity to Refinitiv's premium products, Velocity Analytics and Eikon.
- Established rules to capture real-time intraday data for all global trades.
- Maintained comprehensive metadata for all financial instruments, including session times and operating calendars.
- Conducted market research and analysis to monitor trading patterns across asset classes and visualize data in Velocity Analytics and Eikon.
- Monitored exchange notifications, sending daily reminders to team members for timely action.
- Led major internal projects based on established priorities.
- Assisted team members with analyzing exchange data notifications to enhance understanding.
Assistant Manager
Kotak Securities Private Ltd
07.2015 - 01.2017
- Executed initial public equity offerings, follow-on offerings, and private placements for equity and debt.
- Ensured compliance with know your customer requirements for new account documentation.
- Tracked clients’ accounts daily, escalating high-risk accounts with missing records to appropriate units.
- Focused on capital markets for structuring and pricing both debt and equity transactions.
- Identified and analyzed potential clients to initiate new business opportunities.
- Managed all phases of transactions, including confidential document preparation and SEC filings.
- Conducted roadshows and investor presentations to facilitate transaction closings.
- Recommended relationship terminations or retentions based on investigative analysis.
Education
Master’s Degree in Business Administration -
VTU
01.2013
Bachelor of Business Management -
Kuvempu University
01.2011
Skills
- Alert investigation and market abuse detection
- Regulatory compliance
- User acceptance testing
- Data analysis
- Surveillance monitoring
Passport Details
V7979452
Tools And Skills
DR, Reuters Eikon, RIDE, Service now, Bloomberg, Ziplip, IHSMarkit, Proficient in Microsoft Excel, Word, Outlook, PowerPoint, Well versed with email writing etiquettes, Advanced Computer skills
Synopsis
Wells Fargo International Solution Pvt Ltd, Bangalore, Karnataka, 09/01/22, Present, Supervisory Control Associate – Ecomms Surveillance, Investigating and escalating market abuse activities, Handling real-time exchange traded equities and equity derivatives instruments, Data Notification, Exchange alerts, solving customer queries, Data quality and project implementation, Excellent communication and interpersonal skills, Strong analytical, problem solving, organizational abilities
Timeline
Supervisory Control Associate – Ecomms Surveillance
Wells Fargo International Solution Pvt Ltd
09.2022 - Current
Assistant Manager- Ecomms Surveillance
Hong Kong and Shanghai Banking Corporation
10.2020 - 09.2022
Specialist –Reference Data, Fund Accounting Operations
State Street HCL Services Pvt, Ltd
12.2019 - 10.2020
Content Analyst
Thomson Reuters/Refinitiv/London Stock Exchange Group
01.2017 - 11.2019
Assistant Manager
Kotak Securities Private Ltd
07.2015 - 01.2017
Master’s Degree in Business Administration -
VTU
Bachelor of Business Management -
Kuvempu University