Compliance Lead - Investment Guidelines and Regulatory Monitoring

Compliance Lead

The person needs to work on new account set up in compliance system for EMEA region.

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 rule 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.


Required Qualifications
Hands on experience on ALADDIN order management system.
4-7 years of relevant experience with Bachelor degree.
Strong communication, interpersonal and time management skills.

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

Experience Level

Senior Level