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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.
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.
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
Compliance MonitoringInvestment Guideline Exception InvestigationManual Test ExecutionError InvestigationCoding Issue Identification
Soft Skills
Time ManagementCollaboration