Employee Disclosure and Personal Account Dealing Consultant (Contract)
Location:Royal Bank of Canada Kuala Lumpur, MalaysiaJob SummaryThe consultant is responsible to administer and oversee compliance with Firm policy and SEC and FINRA rules and regulations with respect to Employee Disclosures including Personal / Related Accounts and Trading, Outside Business Activities and Private Investments.
Ensure that Compliance oversight process is aligned with business strategies, operations and procedures.
Execute surveillance of personal trading activity and escalate as necessary to management.Region:APAC
Working hours:9AM - 6PMWhat will you do?SurveillanceExecute surveillance of employee trading activity to oversee compliance with the Firm's personal trading policy.Personal Account Disclosure ("PAD")Assist with review of PAD submissions and in accordance with Firm policy determine permitted vs. non-permitted accounts.Assist with review of exemption requests to maintain brokerage accounts with non-approved firms to determine approval or rejection and communicate decision to requestor.Track receipt of and review of personal / related account statements.Retain PAD forms / related documentation and assist with maintenance of books and records.Periodically conduct reviews and reconciliation of PAD records for completeness.Add accounts to and remove accounts from various trading feed platforms for electronic receipt of statements and trade confirms.Assist with daily and weekly tracking and reporting on new employees to ensure timely submission of disclosures.Assist with tracking and reporting of policy violations.Outside Business Activities ("OBAs") and Private Investments ("PIs")Assist with maintenance of books and records.Assist with reviews and reconciliation of OBA and PI records for completeness.What do you need to succeed?Must-haveBachelor's degree.Detailed understanding of compliance issues facing Broker-Dealers.Familiarity with regulatory filing mechanisms.Ability to multi-task.Extremely organized and detail-oriented.Team player.Minimal Travel Required.Nice-to-haveStrong written and verbal communication skills.Creative thinker.What's in it for you?A comprehensive Total Rewards Program including performance-based bonuses, flexible benefits, and competitive compensation.Leaders who support your development through coaching and managing opportunities.A world-class training program in financial services.A collaborative dynamic culture where personal initiative and hard work are recognized and rewarded.Job Skills
Audits, Compliance, Compliance Oversight, Critical Thinking, Data Gathering Analysis, Decision Making, Documentations, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Management Reporting, Product Services, Regulatory Compliance, Risk Management, Strategic Thinking, Surveillance.Additional Job DetailsAddress:PERSIARAN IRC 2, IOI RESORT CITY IOI CITY TOWER ONE: PUTRAJAYA
City:Putrajaya
Country:Malaysia
Work hours/week:40
Employment Type:Full time
Platform:CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:Service Provider (Training Not Required)
Pay Type:N/A
Posted Date:2024-12-20
Application Deadline:2025-01-31
Note:Applications will be accepted until 11:59 PM on the day prior to the application deadline date above.Inclusion and Equal Opportunity Employment
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