Ameriprise Financial Services, LLC Logo

Ameriprise Financial Services, LLC

Senior Compliance Analyst

Posted 4 Days Ago
Be an Early Applicant
Udyog Vihar, Thane, Maharashtra
Junior
Udyog Vihar, Thane, Maharashtra
Junior
The Senior Compliance Analyst will set up new accounts in the compliance system for the EMEA region, review investment guidelines, code guidelines into compliance systems, provide training to portfolio managers, and assist with compliance monitoring and process improvements.
The summary above was generated by AI

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.
2-5 years of relevant experience with Bachelor degree.
Strong communication, interpersonal and time management skills.
Preferred Qualifications

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

Top Skills

Aladdin

Similar Jobs

Be an Early Applicant
14 Days Ago
Mumbai, Maharashtra, IND
1,100 Employees
Senior level
1,100 Employees
Senior level
Software
The Compliance Senior Analyst will coordinate information security compliance activities, monitor adherence to security policies, manage incident response, conduct risk assessments, and ensure compliance with regulatory frameworks. The role involves fostering security awareness, handling customer inquiries about information security, and maintaining stakeholder relationships.
Be an Early Applicant
6 Hours Ago
Udyog Vihar, Thane, Maharashtra, IND
16,649 Employees
Junior
16,649 Employees
Junior
Fintech
The Compliance Analyst will work on privacy breach incidents, conduct audits to ensure conformity with data protection laws, and guide the business on regulatory requirements. The role includes managing data breaches, staying updated on legal changes, and supporting team members in a collaborative environment.
Be an Early Applicant
2 Days Ago
Mumbai, Maharashtra, IND
2,441 Employees
Junior
2,441 Employees
Junior
Financial Services
The Compliance Analyst will be responsible for ensuring compliance with regulatory norms, reviewing transactions to prevent money laundering, updating KYC guidelines, and conducting audits of the firm's practices. The role involves collaboration across departments to meet deadlines in a hands-on, automated environment.

What you need to know about the Mumbai Tech Scene

From haggling for the best price at Chor Bazaar to the bustle of Crawford Market, the energy of Mumbai's traditional markets is a key part of the city's charm. And while these markets will always have their place, the city also boasts a thriving e-commerce scene, ranking among the largest in the region. Driven by online sales in everything from snacks to licensed sports merchandise to children's apparel, the local industry is worth billions, with companies actively recruiting to meet the demands of continued growth.

Sign up now Access later

Create Free Account

Please log in or sign up to report this job.

Create Free Account