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Lead compliance for EMEA at Ameriprise India, managing ALADDIN monitoring, investigations, and testing in a collaborative environment.
Join a trusted financial firm shaping global asset and advisory services while ensuring regulatory excellence.
About Our Company
Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 20 years. We are part of Ameriprise Financial Inc., a US financial planning company headquartered in Minneapolis with a global presence and diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. 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.
Job Description
The person needs to work on guideline monitoring on compliance system for 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
- Hands on experience on ALADDIN order management system.
- 4-7 years of relevant experience with Bachelor degree.
- Strong communication, interpersonal and time management skills.
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
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, military status, veteran status, marital status, pregnancy, family status or any other basis prohibited by law.
We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.