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 excellent 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
📌 Compliance Lead IND (Noida)
🏢 Ameriprise
📍 Noida
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