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Compliance Lead
Ameriprise Financial Services, LLCCompliance Lead in Ameriprise overseeing guideline monitoring on compliance system for EMEA region. Involves pre-trade and post-trade investment compliance activities, collaborating with portfolio management.
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance monitoring and investment guideline management, with a strong focus on pre-trade and post-trade processes. Proficient in identifying and resolving coding issues within the ALADDIN order management system while collaborating effectively with portfolio management teams.
Highest-signal resume keywords
ALADDIN Order Management SystemInvestment Compliance MonitoringPre-Trade and Post-Trade AnalysisCommunication SkillsInterpersonal Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance MonitoringInvestment Guideline Exception InvestigationManual Test ExecutionError InvestigationCoding Issue Identification
Soft Skills
Time ManagementCollaboration
Industry Keywords
EMEA RegionPortfolio ComplianceEfficiency InitiativesProcess Improvement
About the role
Key responsibilities & impact- Work on guideline monitoring on compliance system for EMEA region
- Pre-trade monitoring to approve Orders/Trades
- Monitoring Investment compliance blocks at a post trade level daily
- 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
Requirements
What you’ll need- Hands on experience on ALADDIN order management system.
- 4-7 years of relevant experience with Bachelor degree.
- Strong communication, interpersonal and time management skills.
Benefits
Comp & perks- Equal opportunity employer
- Inclusive and accessible recruitment process for individuals with disabilities.