Associate Senior Associate
3 months ago
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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