Bhumika Raghav
Senior Professional Surveillance - Code of Ethics @KKR
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WORK HISTORY
Senior Professional Surveillance - Code of Ethics @KKR
IN
Administered & leads KKR\'s Code of Ethics: Supported global compliance by handling employee requests and ensuring adherence to the Personal Investment Policy.• Conducted Communication Surveillance: Monitored communication to uphold ethical standards and mitigate potential conflicts of interest.• Collaborated with Global Teams: Partnered across regions to streamline compliance tasks and address ad hoc code - related needs.• Real-time and retrospective surveillance of electronic communications, including emails, instant messages and voice recordings, using advanced surveillance tools and systems.• Identify and analyse suspicious patterns or behaviours indicative of market abuse, insider trading, conflicts of interest, or other regulatory violations.• Investigate alerts generated by surveillance systems, conducting thorough reviews and analysis of relevant communications and trading activity to determine the nature and severity of potential misconduct.• Contribute to the development and enhancement of surveillance policies, procedures, and training programs to promote a culture of compliance and integrity within the organization.
EDUCATION
Delhi University
Master of Arts - MA, English Language and Literature (Hon’s)
Delhi University
Bachelor of Arts - BA, Literature
ABOUT BHUMIKA RAGHAV
Experienced Senior Compliance Specialist with a Master’s degree from Delhi University, specializing in trade and e-com surveillance. I have a strong background in personal account dealing, code of ethics, known for my analytical prowess and collaborative approach, I bring a deep understanding of securities regulations and a commitment to upholding compliance standards. My expertise in stakeholder relations and dedication to regulatory excellence make me a valuable asset in driving organizational values and compliance culture forward.With experience into PAD Surveillance, Personal Account Dealing, On-Boarding, E-Feed broker, Code of Ethics and Conduct, Compliance Reporting, Market Abuse, Market Surveillance, Client Services, Personal Investment.
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