Ameriprise Financial Services, LLC
Location
Noida | India
Job description
The individual needs to work on mandate monitoring for EMEA accounts and manage both pre-trade/post-trade alerts primarily.
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.
- 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 - 3-8 years of Investment Compliance 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
- Working understanding of Microsoft Office tools such as Excel, PowerPoint and Word.
- Excellent relationship and communication skills
- Excellent analytical and research skills
- Strong interpersonal skills with a client focus
- Strong organizational skills and attention to details are needed
Preferred Qualifications - Hands on experience on any OMS platform preferably ALADDIN
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
Job tags
Salary
