Talk to sales Try for Free
Namish Sarode

Namish Sarode

Followers of Namish Sarode1000 followers
location of Namish SarodeIndia

Connect with Namish Sarode to Send Message

Connect

Connect with Namish Sarode to Send Message

Connect

  • Timeline

  • About me

    Compliance Officer at Tower Research Capital Markets | Trade Surveillance | Crypto Surveillance and Projects

  • Education

    • Executive MBA from KSOU

      2012 - 2013
      EMBA Finance

  • Experience

    • HSBC

      Aug 2005 - Sept 2013

      • Assistant Manager GBM Central Compliance (Trade monitoring & surveillance)

        May 2008 - Sept 2013

      • Analyst

        Aug 2005 - Apr 2008

    • Morgan Stanley

      Oct 2013 - Oct 2015
      Compliance Manager– Institutional Securities Group (Trade monitoring & surveillance)

      Team Manager - Trade Surveillance.Insider tradingFront running of a material client order by a internal traderCreating artificial demand for or supply of financial instrumentsEntering orders to move the price of financial instrumentsUnreasonable internal amendments (Cancel / Correct) to trade bookings Monitor development in regulatory requirements and adjust surveillance models accordingly;

    • BNP Paribas

      Nov 2015 - Sept 2016
      Lead Manager

      Leading a 12 member team of Trade Monitoring & Electronic Communication SurveillanceManaging APAC, UK & US market surveillance activities.Managing stakeholder expectationsReviewing SLA, SOP and KPI. Ensuring the same are consistently delivered.

    • UBS

      Sept 2016 - Jul 2021
      Associate Director Compliance

      Head of MS&C - Trade Surveillance, Ecomms monitoring & Controls testing. Managed 21 member team.Leading the new migration project and successfully going BAU

    • Tower Research Capital

      Jul 2021 - now
      Compliance Officer

  • Licenses & Certifications

    • Series 7

      FINRA