Regulatory Reporting Associate

7 days ago

Gurgaon, Haryana, India Ameriprise Financial Full time

The Regulatory Reporting Analyst is responsible for the processing and submission of threshold based reporting to regulatory / quasi-regulatory bodies and issuing companies, and for data assurance of key information used to define reporting requirements.

The role is for an analyst experienced in reporting, competent at analyzing and interpreting reporting requirements and prioritizing a demanding and diverse workload.


Responsibilities
Produce monthly, quarterly and occasional ad-hoc reporting to agreed timescales for all ECRR Reporting across the Ameriprise Financial, Inc. group of companies. Ensure that all regulatory reporting is performed to the highest quality and in line with the Regulatory Reporting Standards.


Develop and maintain Subject Matter Expertise in the following areas of regulatory reporting (Industry standard templates published by FinDatEx ; use of CSS Group's Accudelta, Consensus and Silverfinch systems to produce and disseminate reporting ; German Financial Industry enhanced transparency requirements).


Ensure the process for end-to-end delivery of selected areas of regulatory reporting (including content supplied by other teams to Regulatory Reporting team) is robust and controlled.

Maintain Operating Model documentation, process, procedure risk and control documentation and KPIs to support this. Contribute towards further streamlining of and risk mitigation of regulatory reporting processes.

Research, monitor and assess the impact of business changes (e.g. corporate entity change, new instrument types, new products, new clients) and regulatory change (e.g. FinDatEx revisions ; notifications from Regulatory Change, GCO or Distribution ; industry groups and publications) on selected areas of regulatory reporting.

Develop and maintain operator level capability in selected areas of regulatory reporting from the following list (EMIR ; Enhanced Takeover Reporting ; Form CPO-PQR ; Form PF ; Issuer Holding Requests ; Large Holding Reporting ; MIFID II Trade and Transaction; Section 13 ; Short Selling) and its applicability to Columbia Threadneedle Investments.


Required Qualifications
A self-starter - motivated and able to act on own initiative. Enthusiastic.
Approachable and able to work with people at all levels in the organisation.

A team player:
able to motivate & contribute to and or lead effective teams.
Inquisitive, with good logical, analytical, and diagnostic skills.
Pro-active, owns and resolves issues; has a strong attention to detail.
Able to deliver to tight deadlines, whilst maintaining quality.
Good working knowledge of the Microsoft Office suite.
Regulatory threshold reporting experience (ECRR or Fund Detail Reporting would be advantageous)
Strong understanding of regulations and direct experience of monitoring and disclosure processes.
Good understanding of instruments (equities, fixed income and derivatives) and products (OEICs, Life/Pension Funds, Hedge Funds)
Meticulous eye for detail (e.g. for checking disclosures, reading regulations).
Good interpersonal and communication skills, both verbal and written.
Able to manage a variable workload with a variety of deadlines.

Preferred Qualifications
IMC or similar qualification.
A sound knowledge of Investment Management processes
Degree qualified or equivalent

About Our Company


Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 125 years.

We are a U.S. based financial planning company headquartered in Minneapolis with a global presence. The firm's focus areas include Asset Management and Advice, Retirement Planning and Insurance Protection.

Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work.

You'll also have plenty of opportunities to make your mark at the office and a difference in your community.

So if you're talented, driven and want to work for a strong ethical company that cares, take the next step and create a career at Ameriprise India LLP.

Ameriprise India LLP is an equal opportunity employer.

We consider all qualified applicants without regard to race, color, religion, sex, genetic information, age, sexual orientation, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.

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