JASMEET SINGH BAGGA

• Responsibility for registration of new joiner performing regulated activities in Hong Kong and de-registration of leavers
• Review & Investigate items identified through Vetting Process
• Monitoring employee (1000+) movement to identify changes in licensing profiles, personal particulars, adverse disclosures
• Working closely with business and aligned compliance to identify gaps and placing controls to avoid any breach
• Preparing periodic reports and conducting reviews
• Assist in determining Continuous Professional Training (CPT) requirements for licensed representatives
• Monitoring timely completion of CPT requirements by all licensed representatives
• Assist in Regulatory Reporting

Licensing & Registration:

• Responsibility for registration of new joiner performing regulated activities in Singapore & Australia and de-registration of leavers
• Review & Investigate items identified through Vetting Process
• Monitoring employee (1500+) movement to identify changes in licensing profiles, personal particulars, adverse disclosures
• Working closely with business and aligned compliance to identify gaps and placing controls to avoid any breach
• Preparing periodic reports and conducting reviews
• Assist in determining Continuous Professional Development (CPD) requirements for licensed representatives
• Assist in Regulatory Reporting
• Imparted training to new joiners and assisted to develop their process understanding

Violations:

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