Aditya Shah
Currently employed at UBS | Ex-Associate at BNP Paribas- Captial Market Trade Surveillance (Compliance)| Learner.
- Role
- Associate at UBS
- Location
- Mumbai, MH, IN
- LinkedIn followers
- 500 followers
About Aditya Shah
Trade surveillance- Review, Analyze and investigate potential market abuse trading activity. • Currently working on ITN, SMARTS Alerts, Watchlist, Restricted List. • Product knowledge-Equity, Derivatives, Fixed Income. • Follow the relevant review process as defined in the operating guidelines. • Using Bloomberg, NASDAQ SMARTS, START, FOCUS and other applications as a tool to collect data for closing the alerts for higher reliability. • Escalate suspicious trading activity deserving for further investigation. • Collaborate with team members and stakeholders effectively. • Prepare daily MIS and reports promptly. • Taking care of TAT to complete the ageing alerts with high accuracy. • Preparing and presenting Monthly Dashboard to stakeholders. • Given Trainings to the new joinersCash/ Futures Reconciliation Knowledge in Financial Market such as Derivatives, Trade Life Cycle, Swaps, Fixed Income Securities.liaising with UK/NA Front Office, Middle Office, Tech Team, Legal to close/match/execute the deals per given TAT. communication with client to resolve breaks for economic parameters. Handling Platinum/HNI Client. Also, POC of Daily/Weekly/Monthly Report such BAU, KPI, OSC, Part 23.
Experience
Associate
Dec 2025 — Present · Maharashtra, IN
Market Conduct- Trade SurveillanceCurrently working in Trade Surveillance execution, with hands-on experience in analyzing trading behavior and conducting end-to-end surveillance investigations. Actively involved in handling alerts related to Insider Trading and Market Manipulation models, with a strong focus on regulatory compliance, risk identification, and quality investigations
Education
KES Shroff College
Bachelor of Commerce - BCom, Business/Commerce, General
2013 — 2016
Imarticus Learning Pvt. Ltd.
Certified Investment Banking operations professional, Investments and Securities
2020 — 2020
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