Robert Chisholm Email & Phone Number

Toronto, On, Ca

Toronto, Ontario, Canada

• Assist in the training of a third-party provider to complete the global refresh requirements• Partnered with regional KYC and Compliance managers to complete complex and sensitive client files• Managed the Brexit separation project for our UK clients.• Initiated formal guidelines with a colleague on bearer shares; we then invited to join in on a steering committee with senior leader compliance teams to implement the process and procedure to all capital market client• Participant in the collection of documentation for global refresh• Lead and participate in special remediation projects• Participate in the development of global policies to bring consistency amongst the regions.• Quality Check of analyst work before submission • Support AML/KYC external reviews and regulatory audits • Trained/coached a team of internal and external resources on regional AML/KYC requirements and CDS processes and applications

155 Wellington St W, Toronto, On

• Developed in partnership with KYC manager, the policy for COBP and created the written communications to clients• Lead a team of third party KYC refresh analyst to manage Global KYC refresh process to oversee their production in order to assure regulatory and RBC policies• Partnered with regional KYC managers to complete complex and sensitive client files• Analyze and report to key stakeholders including CDS management, compliance and front office to highlight areas of risk which lead to improved monitoring• Managed expectations by reporting refresh client break down and possible outreach to clients• Trained a team of internal and external resources on regional KYC requirements and CDS processes and applications• Successful implementation to meet new mandate to manage Dodd Frank, Canadian Regulation and EMIR requirements for ISDA• Consistently met goals and service levels for KYC Refresh 2015 & 2016 • Over achieved meeting objectives to managed local BAU and Refresh teams• Supervise a team of two BAU analysts

Toronto, Canada Area

• Contributed to writing policy writing for COBP and general written communications to clients.• Worked with relationship managers, compliance, operations and legal departments in the conflict resolutions relating to documentation including missing information.• Work on numerous ad hoc remediation projects to help stream line and protect the integrity of our data• Partnered with the KYC manager with daily approvals of other Analyst work and help provide advice and answering their questions• Developed an action plan to regularly review of all clients to see if they comply with AML requirements • Supervisor admin access to assist the KYC manager with daily approvals of other Analyst work and help provide advice and answering their questions• Received reorganization for my successes with remediation projects and daily KYC role

77 King St, Toronto

• Supported the AML/KYC documentation/setting up of new clients for the various trading platforms • Thoroughly reviewed all clients to monitor AML/KYC requirements• Lead the compliance of KYC policies, processes and controls • Designated Subject Matter Expert (SME) to KYC requirements• Recommended process changes that streamlined operations

Toronto, Canada Area

• Update trade details on equity transactions and follow up front office to advise changes • Send out confirmation details to clients & track status of each document until completion• Follow up with clients/cp on confirmations & SME on all enquiries related to OTC equities

• Pioneered Canadian KYC processes for HSBC, which included documenting all of the clients we dealt with regular monitoring of deficiency lists, escalation, resolution, and metrics reporting• Co-lead the KYC steering committee with the Head of Compliance• Developed and executed a Client On-Boarding Program (COBP) for all of HSBC Wholesale Markets business groups; including Treasury, Institutional Fixed Income, Retail Equities Group and Derivative Products. (HSBC Bank Canada & HSBC Securities (Canada) Inc.)• Achieved a passing grade from internal/ external audits for the transparency and thoroughness of new policies for both HSBC Bank Canada and HSBC Securities (Canada) Inc. • Provided coaching and training to junior analysts • Facilitated training to HSBC sales and trading professionals on AML/ KYC documentation requirements to mitigate risk• Developed in partnership with the Head of Compliance, all policies for COBP and general written communications to clients• Collaborated with clients, compliance, operations and legal departments to mitigate conflict resolution related to incomplete documentation • Provide advisory and issues resolution support for all HSBC Wholesale Markets as I was SME• Discovered and eliminated clients that did not meet regulatory and HSBC policy through detailed monitoring• Reviewed and signed off all HSBC clients

• Ensure trading instructions complete and accurate; approve wire transfers, approve checks • Liaison with sales people with respect to any errors/ adjustments any reconcile trades needed• Managed cash settlements daily for both Foreign Exchange and Money Markets transactions• Monitored metrics and reported to senior stakeholders

A contract position for a few months• Contact shareholders and notify them of their voting rights.• Provide support to clients on all concerns they may have in relation to their voting rights.• Engage the client to provide an answer on the voting decision.• Consistently achieved outstanding evaluations reports on a monthly basis.

• Business development of companies which required foreign exchange services.• Providing strategies and execution of foreign exchange trades for clients.