Ritesh C.
Global Head Surveillance Product Application Portfolio Owner Trade Surveillance (Cib) @Wells Fargo
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WORK HISTORY
Global Head Surveillance Product Application Portfolio Owner Trade Surveillance (Cib) @Wells Fargo
London, GB
Global Head & Product Owner: Trade Surveillance (CIB)Directing the strategic vision, application portfolio, and global rollout of Trade Surveillance frameworks across Corporate & Investment Banking (CIB). Managing a $30M+ portfolio of which $25M is technology spend.Strategic Leadership & Governance• Platform Consolidation: Spearheading a global initiative to consolidate the surveillance landscape from 6 vendors to 2, significantly reducing architectural complexity and projected to deliver substantial annual cost savings and improved data integrity.• Portfolio Management: Serving as the Application Portfolio Owner for 6 core surveillance systems, managing a global team of Application Business Owners (ABOs) and ensuring alignment between Tech delivery and Front Office requirements.• Regulatory & Stakeholder Management: Acting as the primary SME for internal/external audits and regulatory inquiries. Collaborating with Senior Controls Management and Compliance to ensure 1LoD frameworks meet evolving MAD/MAR, Best-Ex and FX Global Code standards.Transaction Surveillance (1LoD)• End-to-End Implementation: Leading the turnkey deployment of a premier vendor product for 1LoD monitoring. Defined customisations for \"out-of-the-box\" models to align Market Integrity paradigms with CIB Sales & Trading ecosystems.• Agile Delivery an Product Innovation: Managing the phased global rollout by asset class and market abuse behaviour. Defining the Agile backlog, sourcing complex internal/external market data, and executing high-sensitivity calibration cycles. Serving as Implementation Lead for the TKG rollout, providing advanced Best Execution (BestEx) controls specifically for Fixed Income products.e-Communication & Conduct Monitoring• Global Scaling: Built and scaled a high-performing offshore e-Comms monitoring team, implementing rigorous QA processes, lexicon refinements, and updated desktop guides to ensure robust surveillance coverage.
EDUCATION
Advanced Computing Training School, Pune
C-DAC, IT
Nagpur University
B.E., Electronics
ABOUT RITESH C.
Proven competence in Capital Markets Front Office disciplines and Leadership roles in top tier investment banks, delivering industry-leading solutions as Product Owner, Program/Project Manager, reporting at CxO level.• SME with a well-balanced aptitude for the Sales & Trading Business as well as of the supporting Technologies • Over 20 years of Experience in FX front office Business Development and IT Project/Product Management of large-scale global projects in FX e-Trading, Cross-Asset Trade Surveillance & Business controls for MAD, MAR, FINRA, MiFID, Dodd Frank, FX Global Code for large investment banks. • Over 10 years of experience in Fixed income, Commodities and Equities Business Development as Product Manager, Business manager, Platform Sales, Project Manager & Business Analyst• Experience of delivering FX e-Trading business framework & platforms for large investment banks. • SME Fx Pricing, Price aggregation, FX options lifecycle development.• Built and delivered Transaction Monitoring solutions across CIB for 5 major banks.• Expert in migration of Surveillance controls from second line to 1LOD. • Built inhouse solution from ground-up as well as worked on implementation of SMART, Actimize, Kx, One-Tick, Bloomberg, Liquid Metrix.• Experience in communication with internal and external auditors and regulators. • Experience in building Chat room controls for Bloomberg and Reuters, as well as setting e-Communication surveillance, lexicon refinements and voice controls. Familiar with Global Relay, ZL, Veritas / Compliance Accelerator, Smarsh / Digital reasoning, Nice Voice sampling.
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