Compliance Director, EMEA Region

16 hours ago


Noida, Uttar Pradesh, India Ameriprise Financial Full time
About the Role
Ameriprise India LLP is seeking a skilled Compliance Lead to work on new account set up in compliance system for the EMEA region.

Key Responsibilities:

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

Required Qualifications

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

Compensation Package

The estimated annual salary for this role is approximately $80,000 - $110,000, depending on qualifications and experience. Ameriprise India LLP offers a competitive benefits package, including medical, dental, and vision insurance, 401(k) matching, and paid time off. The company also provides opportunities for professional growth and development. As an equal opportunity employer, Ameriprise India LLP considers 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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