Associate Senior Associate -Compliance -Global Delivery Center

Responsibilties

• Check employee personal trading requests in accordance with the Firms Personal Account Dealing(PAD) policies

Respond to employee queries (via telephone and email) regarding personal account dealing

Update new joiner leaver and change of personal accounts on the PAD database

Issue email request staff completing their declaration

Chase outstanding staff declaration

Collect staffs account and holding declaration

Issue account opening approval letter

Scan and file staffs declaration and approved account opening letter

Conduct reconciliation between the account movements and the dealing approval

Update results of the reconciliation

Chase outstanding statements from sensitive staff concerned

Flag exceptions on dealing approval

Scan and file the reconciled account statements

Prepare MIS reports for management on a regular basis

Prepare report of PAD monitoring

Support creation of Internal and Adhoc reports in a timely manner

Support audit compliance testing and regulatory requests for information

Monitor local personal account dealing processes to identify areas for improvement

Candidate Summary:

AL1 Senior Associate Personal Account DealingCompliance Experiene

1yrs Mumbai

Personal account dealing,compliance