Tarun Sapahia,FRM
Manager, Heightened Risk Response at Jersey Financial Services Commission- Claim this Profile
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Bio
Vishal Padole
Tarun and I were part of Stock Exchange and Clearing Corporation Inspection Team. Tarun has always been very dedicated and hard working and committed Team member. He has deep knowledge of carrying out Inspection and process involved in Inspection. I found him extremely good in identifying compliance issues and mappings them with regulatory requirements. He has very good understanding of Capital Market ecosystem. Many of his assignments I found application of his knowledge in his routine task.
Titus Seow Jin Hui
Tarun is a responsible and detailed individual who have shown to be a competent team member. He is helpful and well versed in his role. An excellent professional in his field of work!
Vishal Padole
Tarun and I were part of Stock Exchange and Clearing Corporation Inspection Team. Tarun has always been very dedicated and hard working and committed Team member. He has deep knowledge of carrying out Inspection and process involved in Inspection. I found him extremely good in identifying compliance issues and mappings them with regulatory requirements. He has very good understanding of Capital Market ecosystem. Many of his assignments I found application of his knowledge in his routine task.
Titus Seow Jin Hui
Tarun is a responsible and detailed individual who have shown to be a competent team member. He is helpful and well versed in his role. An excellent professional in his field of work!
Vishal Padole
Tarun and I were part of Stock Exchange and Clearing Corporation Inspection Team. Tarun has always been very dedicated and hard working and committed Team member. He has deep knowledge of carrying out Inspection and process involved in Inspection. I found him extremely good in identifying compliance issues and mappings them with regulatory requirements. He has very good understanding of Capital Market ecosystem. Many of his assignments I found application of his knowledge in his routine task.
Titus Seow Jin Hui
Tarun is a responsible and detailed individual who have shown to be a competent team member. He is helpful and well versed in his role. An excellent professional in his field of work!
Vishal Padole
Tarun and I were part of Stock Exchange and Clearing Corporation Inspection Team. Tarun has always been very dedicated and hard working and committed Team member. He has deep knowledge of carrying out Inspection and process involved in Inspection. I found him extremely good in identifying compliance issues and mappings them with regulatory requirements. He has very good understanding of Capital Market ecosystem. Many of his assignments I found application of his knowledge in his routine task.
Titus Seow Jin Hui
Tarun is a responsible and detailed individual who have shown to be a competent team member. He is helpful and well versed in his role. An excellent professional in his field of work!
Credentials
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Financial Risk Manager
Global Association of Risk Professionals (GARP)Sep, 2013- Nov, 2024
Experience
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Jersey Financial Services Commission
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United Kingdom
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Financial Services
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100 - 200 Employee
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Manager, Heightened Risk Response
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Sep 2022 - Present
1. Improving systems, policies, and procedures for the effective delivery of risk-based supervision of entities that pose a high risk to the JFSC's guiding principles. 2. Conduct and AML/CFT/CPF supervision of the highest risk entities across investment business, trust company business, banking, and funds service business. AML/CFT/CPF supervision of highest risk DNFBP. 3. Leading, coordinating, and delivering the supervisory engagement strategy for highest risk entities. 4. Guiding and supporting sectoral supervision teams in assessing remediation plans, scope of regulatory effectiveness reviews and other engagement strategies. 5. Collaborating with reporting professionals/skilled persons to agree on the scope of regulatory effectiveness testing.
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Cayman Islands Monetary Authority
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Cayman Islands
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Financial Services
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100 - 200 Employee
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Chief Analyst, Securities Supervision
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Jan 2021 - Sep 2022
1.Risk-based Conduct and AML/CFT Supervision of Securities Investment Business Participants. 2.Training and leading team members in risk-based supervision. 3.Conducting risk probability and impact assessment of licensees. 4.Planning and leading Onsite and Offsite Supervision Examinations of Investment Managers, Investment Advisers, Market Makers, Arrangers and Broker-dealers. 5.Registration and licensing of participants. 6.Transposing international standards such as IOSCO principles and other global benchmarks into regulatory policy and rulemaking.
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SEBI
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Capital Markets
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700 & Above Employee
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Assistant General Manager, Investment Management
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Jun 2019 - Dec 2020
1.Registration, Monitoring and Supervision of Alternative Investment Funds-AIF, Portfolio Managers-PMS and Foreign Venture Capital Investor-FVCI.2.Policy formulation for regulating Investment Advisors, FVCI and Proxy advisory firms in India.3.FEMA applicability for AIF and FVCI.
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Manager, Investment Management
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Jul 2018 - May 2019
1.SEBI data reporting for AIFs in India.2.Registration, Monitoring and Supervision of Alternative Investment Funds-AIF, Portfolio Managers-PMS and Foreign Venture Capital Investor-FVCI.3.Policy formulation for Investment Advisors and Proxy advisory firms in India.
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Manager, Market Regulation
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Feb 2015 - Jun 2018
Regulation and Supervision of Securities Market Infrastructure Institutions in India-Exchanges, Depositories and Clearing Corporations.
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Assistant Manager, Market Regulation
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Jun 2011 - Jan 2015
Regulation and Supervision of Securities Market Infrastructure Institutions in India-Exchanges, Depositories and Clearing Corporations.Worked on Securities Market System Audit Framework at SEBI.
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Temasek
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Singapore
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Financial Services
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700 & Above Employee
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Project Intern , Investment Group - Real Estate
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Jan 2018 - May 2018
Understanding the benefits and risks associated with Real Estate Investment Trust as an investment asset and the history of REIT internalization. Understanding the benefits and risks associated with Real Estate Investment Trust as an investment asset and the history of REIT internalization.
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Education
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2017 - 2018
Singapore Management University
Masters in Finance - Wealth Management, Post-experience masters -
2018 - 2018
Yale School of Management
Executive Education, Alternative Investments Program -
2008 - 2010
Jaipuria Institute of Management
Post Graduate Diploma in Management, Finance and Marketing , Lucknow Campus -
2018 - 2018
Nanyang Technological University
Executive Education, Reserve Management Programme for Central Bankers and Financial Regulators -
2005 - 2008
Himachal Pradesh University
Bachelor's degree, Mathematics -
1997 - 2004
Sainik School Sujanpur Tira
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