Summary
Overview
Work History
Education
Skills
Hobbies and Interests
Accomplishments
KEY ACHIEVEMENTS
Timeline
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YESH KUMAR AGARWAL

Hyderabad

Summary

Dynamic Financial Services professional with expertise in risk surveillance, financial compliance, and client strategy. Proven ability to manage competing priorities and meet tight deadlines in regulated environments. Experience at top-tier financial institutions, utilizing analytical skills to ensure regulatory adherence and drive organizational success. Highly adaptable and collaborative, committed to maintaining integrity and performance standards.

Overview

13
13
years of professional experience

Work History

Supervisory Control Specialist

Wells Fargo Pvt. Ltd
Hyderabad
03.2024 - Current
  • Monitored multi-channel communications to detect potential market manipulation and abuse.
  • Conducted analysis of 300 communication records daily to escalate policy breaches.
  • Maintained over 95% quality in investigative fact-checking using compliance tools.
  • Managed daily reporting and allocation of ad-hoc tasks to ensure timely delivery.
  • Led testing and refinement of ThetaLake surveillance tool for lexicon tuning.
  • Collaborated with cross-functional teams to align on daily objectives and priorities.

Senior Associate

Macquarie Global
Gurgaon
02.2022 - 03.2024
  • Monitored communication and voice channels to identify and escalate potential market manipulation, supporting risk mitigation for Commodities business.
  • Collaborated with surveillance teams across various lines of business, ensuring cohesive risk coverage and swift issue resolution.
  • Conducted comprehensive fact-checking using advanced surveillance tools, enhancing accuracy in investigative decision-making.
  • Spearheaded process improvement initiatives, resulting in more efficient surveillance workflows and improved cross-team communication.
  • Participated in testing and feedback cycles for Scila trade surveillance tool, refining system capabilities in Commodities trading.
  • Served as backup for team members during critical periods, consistently delivering high-quality outcomes with minimal supervision.

Assistant Manager

HSBC Electronic Data Processing
Bangalore
08.2020 - 05.2022
  • Monitored multiple communication channels to identify market manipulation risks proactively.
  • Analyzed high-volume casework of 300 to 400 cases daily, applying regulatory expertise for accurate assessments.
  • Interpreted cases according to regional regulations and firm policies, ensuring risk-aligned decisions.
  • Collaborated with team members and managers to achieve timely deliverables on T+1 basis.
  • Developed management information reports for performance tracking, maintaining over 95% quality in reviews.
  • Supported various ad-hoc compliance tasks, effectively managing three to four tasks concurrently in dynamic environments.

Associate

Acuity Knowledge Services
Bangalore
04.2017 - 08.2020
  • Monitored and analyzed interaction and revenue data, containing thousands of datasets, generating strategic reports for decision-making.
  • Delivered client servicing support to Index and Portfolio Risk Solutions team at major UK investment bank.
  • Extracted key financial data for benchmark fixed income indices, enhancing transparency for investment strategies.
  • Resolved complex client queries regarding index methodology and pricing, ensuring high client satisfaction.
  • Managed accuracy and timeliness of index data delivery feeds, maintaining compliance with service-level agreements.

Senior Analyst

HCL Technologies
Noida
04.2014 - 06.2015
  • Oversaw employee record management for Inventiv Health Inc
  • Administered and maintained enterprise applications and servers

Senior Associate

WIPRO Ltd
Delhi
10.2012 - 03.2014
  • Provided technical support to U.S. customers
  • Utilized Astro CRM to manage customer interactions

Education

MBA - Finance

Alliance School Of Business
India
05.2017

B.Tech - Information Technology

UP Technical University
India
06.2012

Skills

  • Conduct Surveillance System(CSURV)
  • ThetaLake
  • Actimize
  • Scila
  • Microsoft Excel
  • Power BI
  • Python
  • Financial Markets
  • Fixed-Income Indices
  • Bloomberg Terminal
  • Market surveillance
  • Data analysis
  • Regulatory compliance

Hobbies and Interests

Engaging in strategy games, swimming, and traveling

Accomplishments

    Inter-college gaming competition champion: won an inter-college gaming competition during graduation, which showcased my strategic thinking and determination

KEY ACHIEVEMENTS

  • HCL Certified Network Professional
  • Red Hat Certified System Administrator

Timeline

Supervisory Control Specialist

Wells Fargo Pvt. Ltd
03.2024 - Current

Senior Associate

Macquarie Global
02.2022 - 03.2024

Assistant Manager

HSBC Electronic Data Processing
08.2020 - 05.2022

Associate

Acuity Knowledge Services
04.2017 - 08.2020

Senior Analyst

HCL Technologies
04.2014 - 06.2015

Senior Associate

WIPRO Ltd
10.2012 - 03.2014

MBA - Finance

Alliance School Of Business

B.Tech - Information Technology

UP Technical University

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YESH KUMAR AGARWAL