Nimisha Patel
About Nimisha Patel
Nimisha Patel is a Compliance Officer at Jefferies LLC, specializing in surveillance and compliance audits for various securities markets.
Current Role at Jefferies LLC
Nimisha Patel currently works at Jefferies LLC as a Compliance Officer. In this role, she monitors trades and trading positions across Equity, Fixed Income, and Wealth Management Markets to detect potential insider trading. Nimisha also conducts audits and branch reviews to ensure compliance across different Jefferies locations. She specializes in reviewing Short Sales transactions to confirm compliance with securities locates and borrows.
Previous Experience at Morgan Stanley
Before her current role, Nimisha Patel worked at Morgan Stanley as a Controller from 1996 to 2011, a tenure that spanned 15 years. Her responsibilities likely included overseeing financial reporting and ensuring the accuracy of financial statements, although specific duties are not explicitly stated.
Educational Background
Nimisha Patel studied at St. John's University, although the specifics of her study period and degree are not clearly defined.
Expertise in Compliance and Regulation
Nimisha Patel frequently attends SIFMA conferences to stay informed about FINRA Rules and Regulations. She conducts surveillance for Futures, Options, and Foreign Exchange securities using Nasdaq/OMX Smarts Broker. Her extensive experience in compliance includes audits, branch reviews, and monitoring Short Sales transactions to ensure regulatory adherence.