Namish Sarode
Compliance Officer | Mumbai, India
Professional Overview
Namish Sarode is an accomplished Compliance Officer with over 15 years of experience in the financial services industry. He specializes in trade monitoring, surveillance, and ensuring adherence to regulatory standards across global banking and investment management operations.
Experience Summary
Current Role
As the Compliance Officer at Tower Research Capital since 2021, Namish is responsible for overseeing the firm's compliance program, including monitoring trading activities, implementing control measures, and liaising with regulatory authorities. He has played a pivotal role in strengthening the organization's compliance posture and mitigating regulatory risks.
Career Progression
Prior to his current role, Namish held senior compliance positions at leading global financial institutions. He served as the Associate Director of Compliance at UBS from 2016 to 2021, where he led a team responsible for trade monitoring and surveillance across the Institutional Securities Group. Earlier, he worked as a Lead Manager at BNP Paribas and held compliance roles at Morgan Stanley Investment Management and HSBC Global Banking and Markets, where he gained extensive experience in trade monitoring, regulatory reporting, and policy development.
Academic Background
Namish holds a Bachelor's degree in Commerce from the University of Mumbai and is a Certified Anti-Money Laundering Specialist (CAMS).
Areas of Expertise
- Compliance program management
- Trade monitoring and surveillance
- Regulatory reporting and control frameworks
- Policy development and implementation
- Cross-functional collaboration and stakeholder management
Professional Impact
Throughout his career, Namish has been recognized for his ability to enhance compliance practices and mitigate regulatory risks. At UBS, he implemented innovative trade monitoring solutions that improved the firm's detection capabilities and reduced compliance-related incidents. Namish's contributions have helped strengthen the compliance function and maintain the trust of regulators and clients in the organizations he has served.
Conclusion
With his extensive experience, strong technical expertise, and a proven track record of driving compliance excellence, Namish Sarode is a valuable asset to any organization operating in the financial services industry. He remains committed to upholding the highest standards of compliance and contributing to the long-term success of the firms he serves.
