Compliance Lead IND

HITACHI VANTARA INDIA PRIVATE LIMITED; Uttar Pradesh; On-site; INR 900,000 - 1,300,000; Full time

Job summary

Ameriprise India LLP in India seeks a compliance professional to monitor guideline compliance for the EMEA region. The role focuses on pre-trade and post-trade monitoring using the ALADDIN order management system and ensuring adherence to firm, regulatory and client guidelines.

You will work closely with portfolio management and other partners, perform manual tests, investigate guideline coding issues, and contribute to process improvements while maintaining timely monitoring and reporting

Qualifications

• Hands-on experience with ALADDIN order management system.
• 4-7 years of relevant experience with a bachelor's degree.
• Strong communication, interpersonal and time management skills.

Responsibilities

• Pre-trade monitoring to approve orders/trades and apply system blocks with validation.
• Post-trade monitoring of investment guidelines daily within deadlines.
• Monitor Firm, Regulatory and client guidelines.

Skills

ALADDIN order management

Communication skills

Interpersonal skills

Time management

Education

Bachelor degree

Job description

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.

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

Equal Opportunity

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.

Accommodations

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.