Compliance Lead

14 hours ago

Noida, Uttar Pradesh, India Ameriprise Financial Services, LLC Full time US$ 90,000 - US$ 1,20,000 per year
The person needs to work on Guideline Monitoring activities primarily supporting EMEA region.

Key Responsibilities

Pre-trade monitoring to approve Orders/Trades getting the block on the system where applicable post the required validation. Also, Monitoring Investment compliance blocks at a post trade level daily within the deadline. This includes monitoring Firm, Regulatory & client guidelines. Below are the detailed particulars:

  • Pre-trade and Post-trade investment guideline exception investigation & resolution
  • Working closely with portfolio management and other partners to ensure portfolio compliance
  • Manual test execution
  • Identification of investment guideline coding issues
  • Investigating or troubleshooting potential errors when needed
  • Participating in efficiency and improvement initiatives by providing ideas and suggestions on possible improvements to systems or processes.

Required Qualifications
Graduate from a tier 1 university with minimum 8 years of experience
Understanding of Investment Company Act of 1940, Investment Advisor's Act, U.K., and European regulatory framework, such as various UCITS rules
Strong understanding of financial markets, investment vehicles and asset classes.
Strong command on ALADDIN (Order Management System) including applications primarily – Compliance Workbench, Dashboard, Security Master, Trade Entry and Aladdin View.
Proficient in coding compliance rules in the system using BQL and perform rule testing.

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.

Full-Time/Part-Time

Full time

Timings

(2:00p-10:30p

India Business Unit

AWMPO AWMP&S President's Office

Job Family Group

Legal Affairs

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