Sr. Regulatory Reporting Associate Sr. Regulatory Reporting Associate …

Ameriprise Financial, Inc.
in Gurgaon, Haryana, India
Permanent, Full time
Be the first to apply
Ameriprise Financial, Inc.
in Gurgaon, Haryana, India
Permanent, Full time
Be the first to apply
Sr. Regulatory Reporting Associate
Job Description

Completing day to day business responsibilities and operational processes for delivery of regulatory reporting. Under the guidance of management to become a business Subject Matter Expert in one or more of the regulations (Swiss FMIA, EMIR, MIFID II trade and transaction reporting).


Produce daily and monthly reporting to agreed timescales for all Trade and Transaction based reporting across the Columbia Threadneedle Investments group of companies. Operate daily regulatory reporting procedures and contribute towards further automation of these processes. Ensure that all regulatory reporting is performed to the highest quality and in line with the Regulatory Reporting Standards
Under the guidance of management develop and maintain Subject Matter Expertise in one or more selected areas of regulatory reporting (Swiss FMIA, EMIR, MIFID II trade and transaction reporting) and its applicability to Columbia Threadneedle.
Support specialists in completing the process for end-to-end delivery of selected areas of regulatory reporting (including content supplied by other teams to Regulatory Reporting team) within a robust and controlled framework. Support specilaists in Maintain Operating Model documentation, process, procedure risk and control documentation and KPI to support this.
Assist Regulatory Reporting Specialists to research, monitor and assess the impact of business changes (e.g. corporate entity change, new instrument types, new products, new clients) and regulatory change (e.g. reading consultation papers) on selected areas of regulatory reporting.
Plan and co-ordinate process changes working with Legal, Compliance, IT and others to implement business and regulatory changes to maintain compliance. Specify system enhancements, check and maintain rule coding in systems, plan and execute User Acceptance Testing (UAT).
Proactively puts forward ideas to improve the efficiency and effectiveness of tasks for which they are accountable
Timely escalation of issues identified in the process in line with Regulatory Operations escalation process and protocols

Required Qualifications

3-5 years of relevant experience
A good understanding of equities, fixed income and derivatives
Meticulous eye for detail (e.g. for checking disclosures, reading regulations).
Good interpersonal and communication skills, both verbal and written.
A self-starter - motivated and able to act on own initiative. Enthusiastic.
Approachable and able to work with people at all levels in the organization.
A team player: able to motivate & contribute to and or lead effective teams.
Inquisitive, with good logical, analytical, and diagnostic skills.
Pro-active, owns and resolves issues; has a strong attention to detail.
Able to deliver to tight deadlines, whilst maintaining quality.

Preferred Qualifications

Regulatory trade and transaction reporting experience (MIFID I, MIFID II, EMIR, Dodd Frank)
Introductory understanding of regulations with some experience of monitoring and disclosure processes.
IMC or similar qualification.
A sound knowledge of Investment Management processes

About Our Company

With the right company, life can be brilliant. 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 to create a brilliant 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.
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