Senior Investment Compliance Specialist
5 days ago
As a Senior Investment Compliance Specialist at Ameriprise India LLP, you will play a pivotal role in ensuring that our investment activities comply with relevant regulatory frameworks. Your primary responsibility will be to work closely with portfolio management teams to identify potential compliance risks and develop strategies to mitigate them.
Key Responsibilities:
• Investigate and resolve pre-trade and post-trade investment guideline exceptions
• Collaborate with internal stakeholders to ensure portfolio compliance
• Execute manual tests to validate investment guidelines
• Identify and report coding issues related to investment guidelines
• Troubleshoot potential errors and implement corrective actions as needed
Required Qualifications:
• Bachelor's degree from a reputable university with a minimum of 8 years of experience in investment compliance
• In-depth knowledge of regulatory frameworks such as the Investment Company Act of 1940, Investment Advisor's Act, U.K., and European regulatory framework, including UCITS rules
• Strong understanding of financial markets, investment vehicles, and asset classes
Preferred Qualifications:
• Hands-on experience working with ALADDIN order management systems
• Excellent communication, interpersonal, and time management skills
What We Offer:
A competitive salary of ₹2,200,000 per annum, along with opportunities for professional growth and development. Our company values diversity, equity, and inclusion, and we strive to create a welcoming environment for all employees. Join us in our mission to deliver exceptional client experiences and make a meaningful impact in the industry.
About Us:
Ameriprise India LLP has been providing client-centric financial solutions for over 125 years. With a global presence and a focus on asset management and advice, retirement planning, and insurance protection, we aim to empower individuals to achieve their financial objectives.
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