SUNDARRAJ P

• Conducting level 1 review of Trade surveillance for all hedging, physical delivery and speculative trading done by the client Olam Agri International under future, option, swap & spread contracts in commodity, index funds & currency across global market (Asia, Erupoe & USA markets)
• Ensure timely review, escalations and disposal of system generated alerts within TAT agreed with second line of defense in line with signed SOP
• Also, cross trained for compliance operations such as position limit monitoring, regulatory reporting MAS, SD-MSP, MIFID, CFTC), Trade reconciliation etc.
• Developed tailored surveillance strategies for high-risk areas or individuals, mitigating potential dangers effectively.
• Improved overall safety by conducting routine inspections of surveillance equipment and systems.
• Troubleshot technical issues within the surveillance system, minimizing downtime and preserving data integrity.
• Provided comprehensive training for new staff members, ensuring consistent adherence to protocols and best practices.
• Delivered timely reports on significant findings or events, ensuring prompt action when necessary.
• Ensured compliance with all relevant regulations through regular audits and reviews of policies and procedures.
• Analyzed surveillance footage for patterns or trends, allowing for proactive identification of potential risks.
• Conducted thorough investigations of suspicious activities, leading to the prevention of potential threats.
• Maintained detailed records of incidents and activities, facilitating accurate reporting and analysis.
• Applied critical thinking skills to assess situations quickly and determine appropriate courses of action under pressure.

• Conducting level 1 review in E-communications and Trade surveillance for all major hubs in APAC regions
• Ensure timely review, escalations and disposal of system generated alerts within TAT agreed with second line of defense in line with signed SOP
• As a SME in E-communications surveillance process I had suggested close to 31 lexicons which had helped to make our surveillance more optimized and also identified some existing lexicons which had created a lot of false positive hits in our daily review which was sent to Level 2 team for removal.
• Collaborated with stakeholders to define project scope, goals, and deliverables, ensuring alignment with business objectives.
• Assisted in the development and maintenance of process documentation, simplifying knowledge transfer and promoting standardization across the organization.
• Streamlined business processes by identifying inefficiencies and implementing targeted improvements.
• Mentored junior staff members by providing guidance on complex problem-solving techniques and sharing industry knowledge expertise.
• Developed comprehensive training materials for new hires, ensuring smooth onboarding and integration into the team.
• Optimized workflow for increased productivity by analyzing and reorganizing departmental structures.
• Confirmed confidential budget reports remained up-to-date for manager.
• Mentored and guided employees to foster proper completion of assigned duties.
• Initiated timely response to emails, voicemails, and written correspondence.
• Facilitated training for associates through daily coaching and regular performance appraisals.

· Conducting level 1 review in E-communications and Trade surveillance for all major hubs in APAC regions

· Ensure timely review, escalations and disposal of system generated alerts within TAT agreed with second line of defence in line with signed SOP

· Collaborated with stakeholders to define project scope, goals, and deliverables, ensuring alignment with business objectives.

· Assisted in the development and maintenance of process documentation, simplifying knowledge transfer and promoting standardization across the organization.

· Streamlined business processes by identifying inefficiencies and implementing targeted improvements.

· Optimized workflow for increased productivity by analyzing and reorganizing departmental structures.

· Initiated timely response to emails, voicemails, and written correspondence.

• Associate sales trader role who responsible for revenue generation through various financial products and my responsibilities are on boarding new HNI trading clients for the company to generate revenues from the clients as brokerage
• Both dealing and acquisition undertaken by me and also cross selling of their financial products of the company.

• In Kotak securities my role was an assistant manager who supporting branch retail broking business and my responsibilities are handling existing HNI D-mat account holders of Kotak securities
• Providing them quality of service for share market business, meet them directly for better relationship
• Acquisition of new clients, responsible for branch revenue etc.

• My key role was supporting Chennai securities business to increase revenue from retail broking and my responsibilities are handling existing client portfolio and their investment, need to generate revenue from the client by ask them to trade in their D-mat account, providing market news, market trends, research calls from research team
• Activating non-tradable accounts in to tradable accounts
• Getting reference from the mapped client, providing quality of service etc.
• Conducted thorough research and analysis on market trends, leading to better-informed investment decisions for clients.
• Coordinated with wealth management professionals to create holistic financial plans addressing both short-term and long-term goals.
• Increased client satisfaction by providing personalized investment advice tailored to individual financial goals.
• Managed diverse portfolios, effectively balancing risk and return while meeting client objectives.
• Educated clients on potential risks and rewards associated with various investments.
• Helped clients make informed decisions about financial future.