ISPL Compliance Associate
- Teamware Solutions
- 1 - 3 Years
- Chennai
- 4 years ago
- Email to a friend
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Job Description
Direct ResponsibilitiesCHECK EMPLOYEE PERSONAL TRADING REQUESTS IN ACCORDANCE WITH THE FIRM'S 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 REPORT OF PAD MONITORING
PREPARE MIS REPORTS FOR MANAGEMENT ON A REGULAR BASIS
SUPPORT CREATION OF INTERNAL AND AD-HOC 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
ASSIST WITH THE IMPLEMENTATION OF NEW/REVISED PROCESSES AND SYSTEMS
HANDLE SPECIAL PROJECTS AND/OR OTHER DUTIES AS ASSIGNED BY MANAGEMENT
Contributing Responsibilities
PROFESSIONAL LEVEL KNOWLEDGE OF SECURITIES AND BANKING REGULATION.
FLUENT READING PROFICIENCY IN ENGLISH.
MINIMUM 3 YEARS OF RELEVANT COMPLIANCE AND OR FINANCIAL PRODUCT EXPERIENCE
COMFORTABLE USER OF MICROSOFT OFFICE (I.E. OUTLOOK, MS EXCEL; WORD, VISIO, POWERPOINT)
PREPARE MIS REPORTS FOR MANAGEMENT ON A REGULAR BASIS
SUPPORT CREATION OF INTERNAL AND AD-HOC 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
ASSIST WITH THE IMPLEMENTATION OF NEW/REVISED PROCESSES AND SYSTEMS
HANDLE SPECIAL PROJECTS AND/OR OTHER DUTIES AS ASSIGNED BY MANAGEMENT
Contributing Responsibilities
PROFESSIONAL LEVEL KNOWLEDGE OF SECURITIES AND BANKING REGULATION.
FLUENT READING PROFICIENCY IN ENGLISH.
MINIMUM 3 YEARS OF RELEVANT COMPLIANCE AND OR FINANCIAL PRODUCT EXPERIENCE
COMFORTABLE USER OF MICROSOFT OFFICE (I.E. OUTLOOK, MS EXCEL; WORD, VISIO, POWERPOINT)
Employement Category:
Employement Type: Part timeIndustry: Banking
Functional Area: Banking
Role Category: Compliance & Control
Role/Responsibilies: ISPL Compliance Associate
Contact Details:
Company: Teamware SolutionsLocation(s): Chennai
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Teamware Solutions
Teamware Solutions, a business division of Quantum Leap Consulting Private Limited (www.teamwaresolutions.net), offers cutting edge industry solutions for deriving business value for our clients' IT initiatives. Offering deep domain expertise in Banking, Financial Services and Insurance, Oil and Gas...
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