Manager Compliance

The Financial Crime Officer is a senior role within the EMEA Financial Crime Prevention (FCP) Team with day-to-day responsibility for regulatory development, Financial Crime Policies and Procedures, investigations and reporting of Suspicious Activity Reports, Anti- Bribery and Corruption, Fraud, supporting and acting as an escalation point for the wider FCP Team and supporting the MLRO with maintenance of internal quality control and supervision over the FCP processes to ensure that the business operates in compliance with FCP regulations and internal policies

Key Responsibilities:

Financial Crime Programme

• Monitor Financial Crime regulatory initiatives and ensure that FCP policies and procedures comply with applicable current legislation.
• Support the MLRO and the FCP Team to ensure that proper checks, balances and control systems are in place across the lines of business and control functions to enable adherence to key FCP related controls.
• Perform Suspicious Activity Report investigation and report to regulators as appropriate.

Regulatory engagement

• Manage regulatory reviews and associated requests; and
• Comment on regulatory guidance and provide insight to Head Office and the first line on regulatory focuses and activities.

Monitoring and Reporting

• Provide oversight of relevant Operating Group’s policies and procedures through ongoing monitoring.
• Support with ensuring proper checks, balances and control systems are in place across the lines of business and control functions to enable adherence to key controls.
• Monitor FCP compliance arrangements, industry developments and liaison with the Business lines to ensure the implementation of appropriate controls to mitigate the risk of the use of the firm’s systems for financial crime.
• Monitoring and oversight that adequate FCP controls and monitoring are established, documented and maintained

Advice, Counsel and Governance

• Recommend new/improved procedures, processes and other infrastructure to support risk management and compliance as necessary, identifying if and how FCP’s P&P will reflect the regulatory requirements.
• Provide business, operational and long-term strategic guidance in the development of regulatory compliance strategies for FCP across a wide and diverse range of business/operational issues, processes and applications.
• Responsible for advising LOB on required processes and procedures to meet FCP regulatory requirements.

Managerial Leadership & Planning

• Act as an escalation point for the FCP Team, provide coaching and support with personal development

Required Qualifications

• 12 to 14 years of Experience with UK Financial Crime laws and regulations.
• Expertise in financial crime, including, Anti-Money Laundering, sanctions, Anti Bribery and Corruption and fraud regulations and best practice.
• Extensive knowledge and understanding of FCP operations business, services and organization
• Good knowledge of products and processes of other products offered by Columbia Threadneedle Investments
• Extensive understanding of the risk and regulatory issues related to the area of responsibility
• Broad knowledge of retail and FCP systems applicable to the departments
• Exceptional understanding of the financial services industry products and processes
• An ability to communicate effectively both orally and in writing with a wide cross section of personnel both externally and internally.
• A logical and practical approach to their work with attention to detail.
• The ability to meet deadlines with minimum supervision.
• An ability to remain objective and take a balanced view.
• Excellent management of Senior Executive relationships
• A proactive approach to projects and responsibilities.

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

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