Saroj Kumar Behera

- Lead and mentor the team, taking on a leadership role. - Review clients’ policies and other documents for potential regulatory issues. - Assist with the scoping and planning of projects. - Draft reports for clients that summarize the scope of work and findings of each project. - Trains Analysts to perform email reviews. - Conducts team quality checks.

The Compliance Surveillance 2LoD team is multifaceted in that it is 1) structured to provide independent check and challenge over the 1LoD trade, e-communications, trade and voice surveillance programs; and 2) responsible for the primary review and escalation of control room related issues resulting from transaction and/or e-communications surveillance alerts.

- Review, investigate and escalate alerts generated by the Global Market Surveillance system. This system is designed to identify, breaches of internal policies relating to information boundaries or individual behaviour that may signify potential risks to HSBC and / or its clients’, in particular that of market abuse risk. - Perform investigations on the E-communications alerts and identify any suspicious or anomaly activity pertaining to market abuse, conflicts of interest, information boundaries, conduct of business & internal HSBC policies. - Monitoring Trade and Audio Surveillance alerts and identify suspicious activity (file suspicious transaction report-STR) pertaining to market risk. - Identify improvement areas and opportunities for automation & perform various UAT testings. - Keep abreast of trading system updates and products to implement effective surveillance oversight. - Monitoring overall functioning of processes, identifying improvement areas and implementing adequate measures to maximize business satisfaction level. - Assist in the initial set up and drafting of procedures manuals & documents. - Impart process training to new joiners & liaise with the various compliance teams and onshore parties with regular meetings/calls in the event of surveillance team updates, regulatory breaches or violation of HSBC internal policies, or where risk tolerances have been breached, ensure senior managements are informed and that actions are taken quickly to remediate and/ or activities are ceased. - Perform quality checks to ensure that the risks are mitigated and providing all countries reports to onshore counterparts and auditors. - Produce management information (MI) reports of different regional hubs to various stakeholders. - Assist in the on-going development of the system to improve the efficiency of monitoring within the business.

- Review, investigate and escalate alerts generated by the Global Market Surveillance system. This system is designed to identify, breaches of internal policies relating to information boundaries or individual behaviour, fraud payments that may signify potential risks to HSBC and / or its clients’, in particular that of Market Abuse risk. - Conduct investigations on the communications and identify any suspicious activity/information pertaining to market risk. - Placing stocks (watch list/grey list) under restrictions as per the onshore guidelines and ensuring that strict adherence to restrictions is followed. - Assist in the production of reports providing management information to the onshore with a view to apprise management of process operations. - Monitoring overall functioning of processes, identifying improvement areas and implementing adequate measures to maximize business satisfaction level. - Assist in the initial set up and drafting of procedures manuals & documents. - Provides process training, performs quality checks and handles queries of teams.

- Worked as an Investment Analyst based on Customer Queries. Reviewing requests & Instructions from Investment advisors/client. - Journals: Moving securities, bonds & cash from one account to another account in same Bank. - Checks: Issuing Checks on behalf of Client or IA Instructions ”Payable to Client or Third Party” for Benefit of Client. - Specify the values of common stock & bond on current company cost basis system. - Maintain client personal accounts, financial accounts as well as Partnership/Business accounts. - Authorize the Investment Advisors to access client’s portfolio in order to transfer/trade on behalf of Client. - Transfer Cash from one Client account to another Client account through Journal & Checks. - Standing Letter of Authorization: Giving authorization to Investment advisors to act on behalf of account Holder (As per Client Instructions, Banking rules & Regulations).