Santosh is a seasoned professional in the financial industry with over 14 years of experience. He holds a Master's Degree in Finance & Control and possesses multiple FINRA licenses, including Series 24, which qualifies him as a Registered Principal. Throughout his career, he has worked with prominent U.S. broker-dealers such as Cetera Financials, BNY Mellon, and First Allied Securities. His expertise lies primarily in Risk, Compliance and Surveillance, where he has demonstrated proficiency under the regulatory frameworks of FINRA, SEC, MSRB, and SIPC.Skills & Capabilities:>> Capital Markets & Broker-Dealer Operations>> Regulatory Compliance & Oversight>> Supervisory Surveillance & Reporting>> Review of PADs and Customer Complaints>> Complex Products Review & Suitability Analysis>> Internal Controls & Operational Risk Management>> Transaction Monitoring & Alert Management>> EComm. & Promotional Materials ReviewLicense & Certifications:>> Financial Risk Manager (FRM) Level I (GARP)>> Series 4 – Registered Options Principal>> Series 7 – General Securities Representative>> Series 24 – General Securities Principal>> Series 51 – Muni. Fund Securities Principal>> Series 63 – Uniform Securities Agent State Law>> Series 99 – Operations Professional>> NISM Series IIIA: Securities Intermediaries Compliance>> NCFM Module on Surveillance in Stock Exchanges>> NSE Certified Market Professional (NCFM)>> Certificate in Capital Markets Compliance (FCA)>> Internal Controls & Risk Management (FCA)>> AML Professional in Securities Market (NISM)>> Transaction Monitoring & STR (NISM)Email for Correspondence: santoshkumar.sahoo@hotmail.com(Note: Views & Posts are Personal)