Finny joshua JE
Bengaluru
Summary
Ecomms & Trade Surveillance Analyst ensuring compliance with regulatory requirements to uphold organisational integrity. Manages audio communications and trade surveillance operations, mitigating risks effectively. Enhances user interface to minimise false positives and improve platform usability.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Ecomms & Trade surveillance Senior Analyst
MUFG
Bengaluru
07.2025 - Current
- Ensure compliance with regulatory requirements to uphold organisational integrity.
- Oversee audio communications and trade surveillance operations to ensure compliance and mitigate risks.
- Oversaw e-commerce operations and audio surveillance alerts within FX asset class.
- Enhanced user interface to minimise false positives and improve platform usability.
Trade surveillance-Assistant Manager
HSBC
bangalore
01.2024 - 07.2025
- Reviewed Trade Surveillance alerts generated from Actimize, Thub & Sdep
and conducted analysis of trading and market activity for asset classes
Equity, Fixed income, commodities & FX.
• Conducted market research using Bloomberg and Refinitiv to identify
risks and investigate alerts across various financial products, raising
escalations to mitigate market abuse.
•
Properly Documenting the review and disposition of the exceptions as well
as escalating matters appropriately.
•
Working with business and compliance stakeholders to identify new
potential market abuses and any technical improvements in module alert
generation.
•
Taking on additional duties as assigned & identifying areas for process
improvement and helping in migrating to in house surveillance
applications.
•
• Identifying key issues, risks that occur during the course of BAU.
Equity dealing -Asst Manager
HDFC securities
Hyderabad
05.2022 - 01.2024
- Buy and sell financial instruments on behalf of their clients, Providing
market insights and investment advice to potential and existing clients.
Placing Orders on TWS terminal on • behalf of Clients.
Research and identify trading strategies and methods leading to greater
profit and income for clients.
•
Evaluate financial risks and decide on the important daily tasks of an
Equity Trader based on available data.
•
Ensure all trading transactions are legitimate and comply with government
laws and policies.
•
Client Acquisition & activating them in equity, guiding them on Derivative
Trading.
Founder
Fortaegis Quant solutions
Hyderabad
06.2019 - 08.2021
- Mainly responsible for Business Development.
• Training team members.
• Market Analysis and Equity Growth planning.
• Maintaining Client Relationships.
• Guiding customers to be Profitable in Capital Markets.
• Generating Brokerage through Trading.
• Conducted Awareness seminars on Investments and Market opportunities.
Education
A-Levels - Life sciences
Bhavans Vivekananda college
01-2016
Skills
- Regulatory compliance
- Market analysis
- Trade surveillance
- Risk mitigation
- Technical Analysis
Bloomberg
Eikon
Fidessa
TWS Trade terminal
Sophis
Trade bookings
Languages
English
Upper Intermediate
B2
Hindi
Intermediate
B1
Telugu
Upper Intermediate
B2
Certification
- Investment banking operations Certificate from BSE, India Ltd.
- NISM VIII Equity Derivatives
Timeline
Ecomms & Trade surveillance Senior Analyst
MUFG
07.2025 - Current
Trade surveillance-Assistant Manager
HSBC
01.2024 - 07.2025
Equity dealing -Asst Manager
HDFC securities
05.2022 - 01.2024
Founder
Fortaegis Quant solutions
06.2019 - 08.2021
A-Levels - Life sciences
Bhavans Vivekananda college