Sandeep's areas of specialization include client compliance consulting, electronic communications surveillance, employee trading monitoring, market abuse and manipulation, regulatory and reputation risks, best execution analysis, Securities and Exchange Commission registrations and ongoing support, marketing rules, regulatory inquiries, gap analysis, system implementations, research, Bank Secrecy Act / Anti-Money Laundering (AML), and regulatory reporting.
Sandeep manages Kroll’s Mumbai Office within the Financial Services Compliance and Regulation team. In this pivotal role, he provides comprehensive compliance and regulatory consulting services, leads a dedicated team, manages client expectations and ensures the seamless execution of projects. His responsibilities also encompass talent acquisition and the efficient transition of tasks from various global offices.
Prior to joining Kroll, Sandeep held the position of Manager at Nomura, a Japanese bank, where he managed the UK Investment Banking Compliance division. He led a team and conducted surveillance for trade, communications, and voice-based market abuse regulations. Before his tenure at Nomura, Sandeep served as an Assistant Manager for BNP Paribas' Investment Banking Compliance division. In this role, he was responsible for market abuse monitoring and compliance monitoring. Sandeep vigilantly monitored various forms of market manipulation, developed key risk metrics, and suggested enhancements to stay ahead of evolving regulatory landscapes. Additionally, he was deeply involved in client onboarding, KYC, AML, Office of Foreign Asset Control checks, sanctions screening and trade compliance.
Earlier in his career, Sandeep worked as an Arbitrage Trader at a prop desk for precious metals commodities and derivatives. In this role, he was responsible for trading and monitoring margin requirements and executing trades on a global scale. He also developed proprietary short-term trading models for the firm.
Sandeep has had the opportunity to work onsite in various global financial hubs, including Paris, London and New York. These experiences have enriched his understanding of diverse regulatory environments and financial markets, further enhancing his ability to provide insightful compliance and regulatory advisory services.
Sandeep holds a Master of Financial Markets from ITM Business School Mumbai and a Bachelor of Commerce from the University of Bhopal, India.
