Rohit Patel

Experience

• 

  Metropolitan Stock Exchange of India Ltd.

  Apr 2009 - Sept 2014

  Senior Executive

  -Market Operations-Online Surveillance & Risk Management- Investigation & Reporting- User Acceptance Testing- Clearing & Settlement

• 

  Nomura

  Oct 2014 - Sept 2015

  Assistant Manager

  - Responsible for conducting daily trade surveillance to monitor market abuse and money laundering transactions across the firm’s trading activities in Equities, Fixed Income and FX concentrating mainly on Europe, Middle East and Africa (EMEA)- Performed risk-based surveillance and investigation to monitor compliance with regulatory and internal policies, standards and procedures- Resolve any breaches by discussing with Front office – traders/salespersons and escalate to regional compliance officer suspicious transactions that might pose Regulatory risk- Monitoring various Actimize/SMARTS market abuse models such as Trading ahead of market, marking at close, Front running, Trade washing, Market price manipulation, Favourable post trade, marking the close- Assist with Compliance Training to ensure that employees adhere to the firm policies and procedures especially on identification and reporting of suspicious transactions Show less

• 

  Protiviti Middle East Member Firm

  Sept 2015 - now

  -Managed and executed various risk based internal audit engagements for leading financial institutions which include review of the existence of controls and its operational effectiveness.-Clientele served includes Banks, Investment Companies, Brokerages, Sovereign Wealth Funds, Real Estate funds, Pension Fund, Stock Exchanges, Depository and Capital Market Regulators across the Middle East region-Worked for a Stock Exchange in UAE in the Legal and Compliance department, developing operating and governing rules for new products and services.-Worked for Capital Market Regulator (Saudi Arabia) in the Institutions Supervision division performing monitoring & supervision of market participants, stock exchange and clearing corporation. -Conducting inspections of Authorized Persons on behalf of securities market regulator to ensure their compliance with the implementing regulations in core licensed areas of dealing, managing, custody, arranging, advising and compliance areas including AML and Governance-Engaged in various strategic projects with regulator in developing a future model for market infrastructures including spin-off of Securities Depository, settlement change from T+0 to T+2, delegating of supervisory activities from regulator to Exchange to move towards a SRO model, etc.- Governance, Risk and Compliance in Capital Markets Show less

  • Manager

    Nov 2018 - now

  • Assistant Manager

    Sept 2015 - Nov 2018