Jayesh Solanki Email & Phone Number

Mumbai, Maharashtra, India

Mumbai, Maharashtra, India

Mumbai, Maharashtra, India

Asia Pacific Region

Mumbai Area, India

Area of Expertise : Trade Surveillance, PAD, E-Communication Surveillance.Region Supported: APAC, US, UKProducts worked on : Equities, Fixed Income, Structured Product.• Successfully migration and setting-up trade surveillance process for APAC, UK & US region. • Review trade activities in Actimize and client accounts for activity that may present regulatory violations, fraudulent activity, or transactions which may present risk to the firm.• Review suspicious activity based on post trade system generated alerts from surveillance and reporting systems such as Actimize, Order History System and STAR application.• Research transactions identified for further investigation and document findings.• Determine if matters warrant further investigation and if required escalate to Compliance advisory team for further analysis. • Prepare monthly dashboard for stakeholders and document any observations for further analysis regarding the pattern, movement & volume in alerts generated.• Assist in the creation, development and review of relevant Standard Operating Procedures.• Assist in UAT Testing of new models in Actimize.• Assist stakeholders with ad hoc projects that can ease their backlog / help in collating information for the regulators.• Provide on-the-job training to new joiners and thereby creating a valuable resource for the organization. • Track escalations and feedback from traders / stakeholders to ensure it is recorded for audit purpose.• Analyze monitoring processes and recommend enhancements to reports to display trends, patterns and areas of risk.• Verifying the contract notes for the staff received from various brokers and match the trades accordingly in the system.• Identifying breaches done in the system and escalating the same to the onshore team for further verifications.• Conducting quarterly reconciliation to ensure that the staff documents for the accounts given are being sent without any gap.

Navi Mumbai

• Monitoring of Alerts during market hours in Surveillance application.• Setting up of market Surveillance parameter.• Carry out application-officer’s tasks as per ISE Surveillance application.• Preparation of comparison report for the requirement of changes in surveillance parameter(s).• Checking all the reports of surveillance in application.• Ensuring proper communication & control of information.• Reporting to the Higher authorities as per the regulatory requirements.• Investigate & prepare Price Sensitive Information report to place in front of Manager. • Analysis & prepare Member Performance report in cash market to place in front of Manager. • Real time analysis of scrip trading in cash market. Prepare the Scrip Analysis Report to place in front of Manager (if required).• Verify and Analysis Event Driven Report(s).• Preparation of Consolidated EOD Observation Report.• Compliance of Regulatory Authority Guidelines. • In-depth analyses of market trends, process, changing Government policies, SEBI Guidelines etc. and implement same as per the decision of management.• Preparing and sending Monthly/Quarterly Members/Scrips Observation Report • Will update self knowledge regarding Government policies, SEBI Guidelines etc. for smooth the implementation.

Turbhe - Navi Mumbai

• To advice HNI clients of ISec who are regular traders and trade in Equities as well as Derivatives (options & Futures) segments of capital market.• Providing customers personalised advisory services.• Closely monitor the client's portfolio and keep him updated on the latest happenings in equity market with the help of our fundamental and technical research.

Mumbai Area, India

Internship Program: Equity ResearchProject - Monetary Policy of RBI and its Impact.• The Data was collected through Secondary research sources to study the Impact of Monetary Policy on the Stock market, various Sectors and on common man.KEY PROJECTS, SEMINAR & PRESENTATION• Presenting Seminar regarding Basic knowledge & understanding about Capital Market & Derivative Market to the client.• Detailed report analysis of Basel-III norms and its impact on Banking Industry.• Sector analysis of the Oil & Gas industry in India in conjunction with its future growth opportunities and the current impact of deregulation on the sector.• Sector analysis of Banking, Metal, Automobile, Infrastructure & Macroeconomic Policy.• Detailed report analysis of New Banking Licenses & its impact on Banking sector.

• This company is Sub-Broker of Angel Broking Ltd. Deals in Equity, Derivatives and Commodity Market & also provides Portfolio Management services to the clients.Nature of Work• Buy & sell securities using proprietary short term automated trading models. • Handling the portfolios of clients.• Providing investment advice to clients.• Responsible for handling customer queries and maintaining the health of the relationship.• Identify potential trading strategies and offer ideas to improve existing algorithms or create new ones. • Analyze market conditions, social & economic data and financial information. • Evaluate financial risk, make decisions and prepare reports. • Maintain a thorough understanding of and be able to explain stock market terms and trading practices. • Assist in development of training curriculum and initial/ongoing training for new and existing traders. • Review transactions to ensure accuracy of information and that trades conform to • Regulations of governing agencies. Inform and advise management regarding • All other tasks as assigned

Master Of Arts - Ma In Leadership Science, Leadership Science

Activities and Societies: Chanakya's Or Kautilya Arthashastra, Leadership from ancient Indian Scriptures, Local Leadership, Global.

M.M.S, Finance

B. Com (B&I), Banking & Insurance

Commerce, Business/Commerce, General