Kaushik Krishnan, CFE, CSM
Project Lead at Societe Generale Global Solution Centre
Bengaluru
16+ years of work experience
Nov 20205 y 1 moDec 2025
Bengaluru, Karnataka, India
Being part of the CMS R&D Team, I am responsible for Project Management, Data Analysis, Data Governance and Managing Testing Strategy for projects. As a key responsibility, I need to manage the Bernstein JV for PAD & CMS internal tool related project. This includes on boarding Bernstein employees into PAD tool & testing strategy by collating user Feedbacks are collated across all regions & markets. Hands on JIRA and Power BI experience. Similarly co ordinate testing with concerned team to remediate the bugs found and develop enhancements and common components (eg dynamic thresholds) with Data Scientists that are seen commonly across controls built in internal tool project as well.
Apr 20172 yrs 9 mosDec 2019
Chennai Area, India
E Com Surveillance
Managing a team of 10 Surveillance Analysts’ lexicon-based reviews and targeted reviews of employee e-communications
Assessing whether e-communications and voice recordings identified by Surveillance Analysts warrant second-level review, particularly in relation to potential issues involving market conduct risk, reputational risk or other compliance risks
Interacting with APAC Surveillance colleagues and other stakeholders to review and resolve potential issues and creating platform to standardising process / procedure across APAC.
Coached and continuous mentoring of the team members on a regular basis as I have experience in trade surveillance as well.
Developed good rapport with teams in other regions
Have lead and driven the continued and ongoing build out of the Compliance team in Mumbai (Trade surveillance) and Chennai (E Com)
Part of testing and UAT of new applications implemented in E Com
Documenting and escalation of any issues and concerns to the onshore team
Updating SOP in timely basis whenever there is a change seen in the process.
Jun 20142 yrs 10 mosMar 2017
Mumbai, Maharashtra
Trade Surveillance
• 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 ICI Impact, 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.
• Assist in refining current surveillance systems to ensure that alert output is meaningful and valid which includes calls / mails with stakeholders, Applications IT team.
• Correspond with member firms regarding the post trade activity.
• Investigate issues arising from various business and operations units.
• Identify and mitigate situations that may adversely impact the integrity of NYSE markets
• Analyze monitoring processes and recommend enhancements to reports to display trends, patterns and areas of risk.
• Managing 2 members APAC Team starting this year 2016 is on the anvil and this is not confined to but includes process mastering, assist in creating SOP, help in resolving system, application and Actimize related queries etc.
Dec 20103 yrs 6 mosMay 2014
Chennai Area, India
DEPARTMENT: Compliance - Trade Surveillance
Area of Specialization – Trade / Market Surveillance, E Mail Surveillance,Reporting
ROLES & RESPONSIBILITIES
•Review trade activity and client accounts for activity that may present regulatory violations, fraudulent activity, or transactions which may present risk to the firm.
•Undertake other projects as assigned by compliance management.
•Daily / key point of contact to Trade Surveillance from Chennai
•Generation of reports from eAnalytics tool with regard to Omnibus accounts
•Documenting & investigating the reports & escalate if needed
•Coordinating with on shore counterparts for any timely & accurate status Reporting when required
•Document alert research/decision regarding unusualness of the transactions within the monitoring system
•Adhere to internal policies/investigative and documentation protocols
•Sending E mail Surveillance Review reports to onsite senior management on a monthly basis
•Assist in escalating exceptions and reviewing management reports
•Report Generation for department wise scorecards by collating information from other AVPs & VPs to be sent across to senior management
• Adding New Hire, Terminations into Lotus Notes in order to track the Training courses
• Prepare weekly New Hire / Termination & Transfer reports for associates based out of New Jersey & Lake Mary in order to add their presence in the surveillance list.
• Collating the HR reports of New Hire, Terminations from HR for Indian Associates & sending across the same to New Jersey HR team for assigning Training Courses.
Applications used are Orchestria (now CA Technologies), Netx360, but Actimize & e-Analytics in Netx360 are rarely used
Apr 20082 yrs 9 mosDec 2010
Bengaluru, Karnataka, India
ROLES & RESPONSIBILITIES
Setting up of the bonds that come up in the application (Broadridge - Impact) and thereby providing the static data to the traders in NY.
Maintain and analyze all the information (Price and non Price) for US market
Maintenance of the coupon rates and the factors of the bonds traded in the market.
Support trading desk by giving information about bonds.
Extracting the price and non price data by using Bloomberg and Thomson Reuters and providing the same to traders
Creation of procedures for the tasks & amending them on a timely basis to ensure sync between the task & the procedures
Resolving the queries on time ensuring quality and accuracy.
Analyzing the resolved quires of the team on monthly basis to ensure the quality of resolution
Verifying the Reports, finding any errors and fixing them on time
Identifying and completing the projects within target time
The systems and applications used are Bloomberg, Thomson Reuters, Broadridge (Impact), Treats & Summit.
Also was part of Equity Derivatives process - Paris. The roles & responsibilities include:
Setting up of Shares, Equity & Index Futures in the application (Sophis) and thereby providing the static data to the traders in Paris.
Timely amendments of the shares, futures based on the corporate action regarding any changes in static data.
Any Corporate Actions on the equities have to be updated accordingly based on requests.
Support Paris & London trading desk by giving information about shares & futures
Extracting the price and non price data by using Bloomberg and Reuters terminals to provide data to traders
Coordinating with International Traders (European region).
Resolving the queries on time ensuring quality and accuracy.
Analyzing the resolved quires of the team on monthly basis to ensure the quality of resolution
Verifying the Reports, finding any errors and fixing them on time
Kaushik’s AI Stack
Education
Master of Business Administration - MBA, Finance
bangalore university
20042 yrs2006
Bachelor, Bachelor of Business Management (Finance)
Vivekananda College of Management Studies
20013 yrs2004
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