Monitor trade exception queues, identify relevant issue and provide resolution (Taser, dfbcexception)
Monitor of onboarding response queues, to provide regulatory validation checks prior to account opening
Advise client onboarding , sales coverage and external clients on outstanding regulatory requirements
Responsible for maintaining/updating the DF Delivery emails in the Dodd Frank Certification UI
Ensure the firms Notices and Disclosures are distributed to new Dodd Frank compliant clients
Perform regulatory validation checks post account opening and liaise with onboarder on issues identified
Produce and deliver various Dodd Frank related reports to management, business units and front office.Technical and
- Knowledge of global markets / market regulations is beneficial, although not a necessity
- Customer care skills
Strong Microsoft office skills, specifically Microsoft Excel (vlookup, pivot tables)
AML experience, client reference data, or client documentation skills a plus
Orcapod is a Consulting & Technology Services firm founded by senior industry... professionals coming from reputed international organizations. Like the Orcas which roam the great oceans around the globe, we work with Global and Indian Clients providing assistance in their critical IT & business improvement initiatives.
Orcapod Consulting helps its clients to improve business operations by combining its expertise in the areas of Business & IT Consulting, Outsourcing, Operations Transformation and Services Optimization. Our experienced consulting workforce complements the CIO organization and helps it deliver more within its budgets & demanding schedules. Explicit Business Outcome, our proprietary methodology gives high priority to employing existing client assets for delivering the range of results that will make substantial and sustained difference to our client’s business.
Orcapod Technology Services offers innovative and customized solutions to meet the resourcing needs of our clients in the IT space. Our ability to attract and retain high performing workforce ensures on demand access of talent capacity to our clients for meeting business commitments.
Fuelled by our shared vision, we help to make our client’s businesses more efficient, more profitable, and prepared to succeed. We help to make them Future Ready. Read full description