Associate Senior Associate

3 months ago


Mumbai, India Riverforest Connections Private Limited Full time

Responsibilties

  • Check employeepersonal trading requests in accordance with the Firms PersonalAccount Dealing(PAD) policies

Respond to employeequeries (via telephone and email) regarding personal accountdealing

Update new joiner leaver andchange of personal accounts on the PADdatabase

Issue email request staffcompleting their declaration

Chase outstanding staffdeclaration

Collect staffs account andholding declaration

Issue account opening approvalletter

Scan and file staffs declarationand approved account openingletter

Conduct reconciliation betweenthe account movements and the dealingapproval

Update results of thereconciliation

Chase outstanding statements fromsensitive staff concerned

Flag exceptions on dealingapproval

Scan and file the reconciledaccount statements

Prepare MIS reports formanagement on a regular basis

Prepare report of PADmonitoring

Support creation of Internal andAdhoc reports in a timelymanner

Support audit compliance testingand regulatory requests forinformation

Monitor local personal accountdealing processes to identify areas forimprovement

CandidateSummary:

AL1 Senior AssociatePersonal Account DealingComplianceExperiene

1yrsMumbai

Personal accountdealing,compliance



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