Purnima Kotian

Experience

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  BSE Ltd.

  Dec 2006 - Sept 2016

  Investigating stocks based on preliminary analysis and STR (Suspicious Transaction Reporting) or equivalent for regulatory reporting to FIU. Used transactional and customer records, external data, publicly- available information, and other information to identify suspicious or unusual activity. Performed detailed analyses to detect patterns, trends, anomalies and schemes in transactions and relationships across multiple businesses. Further, reviewed parameters of AML (Anti Money laundering) surveillance system to ensure that quality alerts are generated. Responsible for conducting investigations for possible market manipulation in stocks identified by the Online Surveillance Systems Observing/ analyzing the trading pattern in the stocks and finding out the manipulation, if any, against SEBI Laws and By-Laws and then taking necessary action against trading member / Member as per the findings in the scrip. Attending Meetings and interaction with regulators (SEBI) on one to one basis. Show less

  • Manager

    Dec 2006 - Sept 2016

  • Manager

    Dec 2006 - Sept 2016
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  DEUTSCHE INDIA HOLDINGS PRIVATE LIMITED

  Feb 2017 - now

  Assistant Vice President Compliance / Trade Surveillance

   Lead a team of 8 people to ensure quality check for departmental work and adherence to timelines within group Conducting Communication & Trade Surveillance activity by reviewing, clearing or escalating trading alerts generated by SMARTS Brokers and ACTIMIZE systems for APAC region Conducting Information Barrier (IB) Surveillance for APAC region Monitoring and updating parameters of alerts Suggesting and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Technology as well as acting in partnership with Technology Lead calls and discussions with Country Markets Compliance Officers  Preparing Weekly/Monthly Reports: Cap Model, MIS, KPI dashboard, Report for Central Compliance. Reviewing and updating training documentation and developing subject matter expertise within the Team. Show less