Sr Compliance Analyst IND Sr Compliance Analyst IND …

Ameriprise Financial, Inc.
in Noida, Uttar Pradesh, India
Permanent, Full time
Last application, 18 Jan 21
Ameriprise Financial, Inc.
in Noida, Uttar Pradesh, India
Permanent, Full time
Last application, 18 Jan 21
Sr Compliance Analyst IND
Job Description

• Analyze investment guidelines for institutional separately managed accounts and mutual, sub-advised, private and collective funds
• Code investment restrictions in the respective order management system to assist the Portfolio Managers in managing accounts within the investment guidelines
• Provide training to Portfolio Managers on their accounts


- 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

Investment compliance rule coding and testing experience.
Understanding of Investment Company Act of 1940, Investment Advisor's Act, UK and European regulatory framework, such as various UCITS rules
Understanding of financial instruments across asset classes including equity, fixed income and derivative instruments
Strong analytical and problem solving skills
Excellent communication and strong interpersonal skills with all levels of seniority

Preferred Qualifications

Hands on experience in ALADDIN or similar order management systems
Working understanding of Microsoft Office tools such as PowerPoint and Word
Ability to work independently and as a team, exercise flexibility, initiative, good judgment and discretion
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