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Vaishnavi Joshi

@vaishnavijoshi1

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Seasoned Compliance Surveillance Analyst with expertise in regulatory adherence.

India

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What I'm looking for

I am seeking a challenging position in a dynamic environment that values compliance and integrity.

I am a seasoned Compliance Surveillance Analyst with a strong background in trade and communications surveillance. My experience spans across various roles in the financial sector, where I have honed my skills in regulatory compliance, risk management, and internal process improvements. I pride myself on being a highly ethical team player, dedicated to maintaining market integrity and safeguarding investor interests.

During my tenure at the National Stock Exchange, I initiated primary investigations, prepared regulatory reports, and implemented risk containment measures. My role involved verifying daily price bands and suspending scripts to prevent market manipulation. I also played a key role in automating reports and conducting user acceptance testing, which enhanced operational efficiency.

Previously, at Citicorp Services, I was responsible for formulating and reviewing compliance policies post-system migration. I analyzed surveillance alerts and communicated findings to management, ensuring that potential issues were addressed promptly. My commitment to excellence and my ability to manage multiple priorities have consistently contributed to my success in fast-paced environments.

Experience

Work history, roles, and key accomplishments

Manager

National Stock Exchange

Mar 2022 - Oct 2023 (1 year 7 months)

Initiated primary investigations and prepared regulatory reports. Implemented risk containment measures and verified daily price bands to prevent market manipulation. Contributed to ASM and GSM reports to enhance market integrity.

Investigation Regulatory Reporting Team Leadership Automation Compliance

Compliance Surveillance Analyst

Citicorp Services India Pvt Ltd

Sep 2019 - Feb 2022 (2 years 5 months)

Formulated new processes and policies post system migration while reviewing existing policies. Analyzed surveillance alerts related to trading activities, documented exceptions, and communicated findings to management. Supported compliance evaluations and prepared monthly reports on alerts and actions taken.

Regulatory Compliance Process Improvement Risk Management Report Preparation Communication Team Collaboration

Assistant Manager

Bombay Stock Exchange

Aug 2017 - Oct 2019 (2 years 2 months)

Oversaw trading activities to detect market manipulation and initiated investigations. Prepared regulatory reports and implemented risk containment measures. Contributed to SEBI regulatory reporting for SME scripts.

Investigation Regulatory Compliance Risk Management Report Preparation Team Collaboration Trading Oversight Compliance Reporting

Key Accounts Manager

IndusInd Bank

Jul 2017 - Jan 2018 (6 months)

Developed client relationship plans to enhance customer satisfaction and drive cross-sell initiatives. Managed wealth management and KYC reviews, ensuring compliance with banking regulations.

Client Relationship Management Cross Selling KYC Wealth Management Customer Satisfaction Transaction Monitoring Team Collaboration Strategic Planning

Associate Wealth Manager

ICICI Securities Ltd

Jul 2016 - Dec 2016 (5 months)

Managed financial needs of HNI clients by analyzing risk and return profiles. Provided financial investment advisory and optimized client returns through product recommendations.

Advisory Risk Analysis Client Management Product Knowledge Relationship Building Financial Planning Cross Selling

Education

Degrees, certifications, and relevant coursework

Institute of Technology & Management

PGDM, Financial Markets

2014 - 2016

Completed a Post Graduate Diploma in Management with a focus on Financial Markets, equipping with essential skills in financial analysis and market operations.