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

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

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

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.
• 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

• 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.