JASMEET SINGH BAGGA

• age regulatory compliance for employee registration and de-registration in Singapore and Hong Kong.
• Conduct due diligence and ensure adherence to data protection requirements.
• Track employee movements and licensing profile changes, reporting to senior management.
• Provide training to new joiners to improve process understanding.
• Oversee reporting and reminders for APAC (Singapore, Hong Kong, Japan) and EMEA regions on various schedules.
• Oversee & co-ordinate with Country Compliance & technology teams timely enhancement of licensing database platform
• Collaborate with cross-functional teams to enhance process improvement and efficiency.
• Develop comprehensive documentation for standard operating procedures to improve internal knowledge sharing.
• Increase efficiency by streamlining data analysis and implementing automation tools.

Licensing & Registration (HKMA & SFC):

• Manage regulatory compliance concerning registration and de-registration of employees performing regulated activities in Hong Kong.
• Conduct due diligence and ensure adherence to data protection requirements.
• Monitor exam and Continuous Professional Training (CPT) requirements for licensed representatives.
• Track employee movements and changes in licensing profiles, providing reports to senior management.
• Collaborate with business and compliance teams to identify gaps and implement controls to prevent breaches.
• Provide training to new joiners to enhance their understanding of processes

Licensing & Registration (MAS, SGX & ASIC):

• Manage regulatory compliance concerning registration and de-registration of employees performing regulated activities in Singapore & Australia.
• Conduct due diligence and ensure adherence to data protection requirements.
• Monitor exam and Continuous Professional Development(CPD) requirements for licensed representatives.
• Track employee movements and changes in licensing profiles, providing reports to senior management.
• Collaborate with business and compliance teams to identify gaps and implement controls to prevent breaches.
• Prepare periodic reports and assist in regulatory, external, and internal audits.
• Provide training to new joiners to enhance their understanding of processes

Violations:

• Preparing periodic reports and conducting reviews for Senior Management
• Handled control process by sending periodic reminders to assessors and supervisors