Pooja Bhalla
Global Trade Surveillance- Capital Markets @Scotiabank
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WORK HISTORY
Global Trade Surveillance- Capital Markets @Scotiabank
Toronto, ON, CA
My role is to make sure we at Scotiabank adhere to Investment Industry Regulatory Organization of Canada (IIROC) dealer rules and Universal Market Integrity Rules, Montreal Exchange Rules, Financial Industry Regulatory Authority (FINRA) rules, provincial securities legislation applicable to trading activities and capital markets, Dodd-Frank Act, Volcker Rule, CFTC and MiFID II or MAR.
EDUCATION
CFA Institute
CFA Level II
Canadian Securities Institute
Canadian Securities Course, Finance
Guru Nanak Dev University
MBA
University of Toronto - Rotman School of Management
Executive Program - IIROC Securities Market Microstructure and Algorithms - 2019, Business/ Finance/ Capital Markets
ABOUT POOJA BHALLA
As a Business Analyst specializing in regulatory reporting and trade surveillance within Global Banking and Capital Markets, I deliver data-driven solutions that strengthen compliance, transparency, and risk mitigation. I work closely with compliance, technology, and operations teams to enhance surveillance frameworks, onboard and improve source systems, and translate complex regulatory requirements into actionable, scalable solutions.I have hands-on experience implementing and supporting surveillance and reporting programs aligned with global regulations including:CIRO - MTRS, FINRA, SEC, MAR, MiFID II, Dodd-Frank, Volcker Rule, MAS (Singapore), HKMA (Hong Kong), and the UK Prudential Regulation Authority and Bank of England mandates.My work includes identifying and mitigating market abuse risks such as spoofing, layering, insider trading, and ramping across asset classes (equities, swaps, fixed income, derivatives). I also support onboarding and enhancement of upstream systems, ensure seamless data flows through robust ETL pipelines, and leverage SQL for data validation, reconciliation, and root-cause analysis.With strong domain knowledge, I contribute to the development of sustainable compliance reporting structures, regulatory remediation initiatives, and the continuous evolution of control frameworks across capital markets environments.Extensive
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