Sumit Golam
Director, Information Controls, Compliance
- Role
- Director at Morgan Stanley
- Location
- Mumbai, MH, IN
- LinkedIn followers
- 500 followers
About Sumit Golam
Wealth Management & Compliance professional with over 10 years of combined experience across Front-office Advisory and Wealth Management Compliance & Surveillance functions.I bring 6.5 years of rich experience in Financial & Investment Advisory, serving Retail and HNI clients across a broad range of products including Mutual Funds, Equities, Derivatives, Insurance, Structured Products and Trading solutions. This client-centric exposure has given me a deep understanding of market behavior, investor psychology and product suitability.In addition, I have 4+ years of specialized experience in Wealth Management Compliance and Information Barriers (Controls), focusing on Post-Trade Surveillance to identify irregular, manipulative and abnormal trading activities. My expertise includes monitoring of Restricted & Watch List securities, OTW E-Communications surveillance, and cross-asset trade reviews to ensure regulatory adherence and internal policy compliance.I have supported global stakeholder teams across APAC, EMEA and AMER regions and worked extensively on industry-leading surveillance platforms such as Nasdaq SMARTS, Refinitiv and Actimize (O2).I am passionate about strengthening market integrity, mitigating conduct risk, and bridging the gap between business objectives and regulatory compliance through effective surveillance and control frameworks.
Experience
Director
Jan 2026 — Present · IN
Surveillance of issuers which are on Watch and Restricted Lists
Education
Watumull Institute Of Electronic Engineering And Computer Technology
Bachelor of Engineering (B.E.), Biomedical/Medical Engineering
2008 — 2012
Management Jobs and Careers
Master of Business Administration (M.B.A.), Finance, General
2014 — 2016
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