Compliance Specialist

3 weeks ago


Noida, Uttar Pradesh, India Ameriprise Financial Full time

Job Summary

The Compliance Lead will work on new account setup in compliance systems for the EMEA region. This role involves reviewing and analyzing investment guidelines and restrictions, coordinating with various teams to clarify interpretive issues, and ensuring guidelines are effectively coded into compliance systems. Additionally, the Compliance Lead will provide training to Portfolio managers and support staff with respect to account reviews and restricted list updates.

Key Responsibilities

  • Perform timely and effective reviews of IMAs and prospectuses to identify and analyze investment guidelines and restrictions.
  • Coordinate and collaborate with the contract office, client service, product, and/or legal to clarify interpretive issues related to investment guidelines or disclosure documents.
  • Ensure guidelines and restrictions are effectively coded into compliance systems for ongoing monitoring of funds/accounts' guidelines.
  • Provide training to Portfolio managers on Investment Guidelines.
  • Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rules and ensuring rules are working as intended.
  • Provide support to staff with respect to account reviews and restricted list updates.
  • Assist with various projects and initiatives across investment compliance team, including training related to new accounts, the periodic review of existing accounts, and continuous process improvements.
  • Assist with the ongoing maintenance of procedures and related controls.

Requirements

  • Hands-on experience on ALADDIN order management system.
  • 5-7 years of relevant experience with Bachelor degree.
  • Strong communication, interpersonal, and time management skills.


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