Trupti Desai

Trade Compliance Analyst.

• Work as a Compliance Risk Analyst to ensure trading activities follow regulations and internal policies.
• Review and analyze trade surveillance reports/alerts related to employee and client trading, and sign off on completed alerts.
• Investigate any unusual or suspicious trading activities, and document findings.
• Collaborate with regional teams, business units, and middle office staff to resolve any issues flagged in surveillance reports.
• As necessary, use available research tools to identify publicly available information concerning transactions to be identified for further investigation.
• Address and resolve complaints and queries within the set turnaround time (TAT).
• Help improve trade monitoring processes to reduce risks and maintain strong controls.
• Provide support during audits and regulatory reviews by sharing relevant documents and insights.

• Coordinate with relevant parties daily to ensure smooth operations across all divisions.
• Monitor position limit violations, position limits, and TM fund limits on NSE terminals.
• Perform real-time surveillance of trading limits at both client and exchange levels.
• Assist in resolving trade and settlement issues by collaborating with market centers and exchanges.
• Track market activity in specialized areas and provide feedback to portfolio managers.
• Execute trade orders while ensuring compliance with best execution practices, risk management, and internal policies.
• Provide backup support for futures, derivatives, and foreign exchange trading; rebalance portfolios, maintain portfolio models, and manage cash levels.
• Evaluate financial risks, make informed decisions, and prepare reports for management.
• Execute currency and securities trades, assess market opportunities and risks, and offer financial advice and recommendations to clients.

• Manage accounting functions, including preparing month-end reports and handling sales, service, and purchase bill entries.
• Generate monthly sales, service, and purchase reports and prepare daily and monthly bank reconciliation statements.
• Coordinate daily with all relevant parties to ensure smooth divisional operations.
• Reconcile accounts for sales and purchase totals, including GST calculations.
• Prepare outstanding lists of debtors and creditors and follow up on payments.
• Compile MIS reports, cash flow, and fund flow statements, along with other financial reports.
• Make journal entries for invoices, payments, receipts, sales, and purchases.
• Resolve queries raised by internal auditors and coordinate with insurance, sales, and finance departments.
• Prepare monthly GRN reports for all branches and transfer interest amounts to all locations based on vehicle sales.
• Process online road tax payments daily and record them in the system.
• Record transactions related to the purchase and sale of used cars and ensure accurate final payments after calculations.