The role requires to support the completion of the EMEA Trade Surveillance monitoring programm which is designed to prevent and detect issues in respect of Market Abuse, Best Execution and Trading Conflicts of Interest.
Key Responsibilities
- Ensure timely and accurate completion of monthly monitoring programme.
- Ensure that process and procedure documents are kept up to date.
- Ensure timely and accurate recording of Management Information and escalations.
- Identify areas for development / improvement in respect of key processes.
- Develop and maintain a good working relationship with the wider GCO team (locally and globally)
- Seek opportunities to increase collaboration and alignment with CMIA AMC team.
- Focus on personal development and attend training suitable for role.
Required Qualifications
- Post-graduate/Graduate from a well-recognized institute would be preferred
- Experience should be 5 plus years
- Ability to investigate, analyze and solve problems.
- Attention to detail.
- Good communication skills (verbal and written)
- Team player
- Able to work on own initiative
- Strong Microsoft office skills
Preferred Qualifications
- Interest in financial markets and a willingness to learn and develop
- Understanding of data analytics systems such as Excel Macro and PowerBI.
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
What We Do
Ameriprise Financial has helped millions of clients feel confident about their financial futures for more than 125 years. Our network of approximately 10,000 financial advisors* delivers personalized financial advice to help clients reach their goals.
We believe that with the right advisor, the right advice, and the right firm, life can be brilliant.
Ameriprise has corporate locations throughout the U.S. and across the globe, and advisor offices in all 50 states.
Learn how you can build your career at Ameriprise Financial.
*Ameriprise Financial Q2 2020 Statistical Supplement
All content on this page is provided for informational purposes only and should not be used as the sole basis for investment decisions. Ameriprise Financial cannot guarantee future financial results. Investment products are not federally or FDIC insured, are not deposits or obligations of, or guaranteed by, any financial institution, and involve investment risks including possible loss of the entire amount invested.
By clicking on a hyperlink, you may be directed to a non-Ameriprise website. Be aware that the linked site will be subject to rules, regulation, and privacy and security provisions that are separate, and may differ, from Ameriprise Financial.
Investment advisory products and services are made available through Ameriprise Financial Services, LLC., a registered investment adviser.
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