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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
Full Time