Job Description

The primary job responsibilities of this resource will be to support the EMEA Compliance Programme Office in meeting its objectives.

Key Responsibilities

• Compliance Management on reporting requirements
• Advise the business and employees across all 3 LOD on Conflicts of Interest, Personal Trading, Gifts/Hospitality & Outside Business Activities
• Advise Compliance Management of any risk (existing, emerging, trends) and risk deliverables
• Advise RLOs at 1st/2nd/3rd Line Co-ordination Forum]
• Advise on PRA matters, outsourcing and third-party notifications]
• Advise the Global COO (and team), and the wider business on EMEA and APAC regulatory requirements and new regulations, such as DORA]
• Co-ordinate compliance MI and updates, produce all compliance reporting
• Compiling compliance regulatory filings, including ADV, NFA disclosures
• RFP/client requests review and coordination
• Maintaining the Conflicts of Interest (COI) Register and Log
• COI Annual review/attestation
• PTA activities
• Operational risk management within Compliance, incl REVs, RCSA, EMEA Risk and Control Programme, Change Risk Assessments, Scenario Analysis, Compliance\xe2\x80\x99s BU Dashboard and KRIs, Risk Acceptances, External events assessment (i.e Willis World Database), ISAE, ICARA, BCP management, Model and
• FCA/NFA/SEC Principal User
• Regulatory filings oversight
• Support regulatory information requests
• Escalations, notifications, and reporting
• Working with global utilities to implement/support EMEA/APAC requirements
• Maintain the PRA regulatory Relationship
• Maintaining the GMC Governance Map
• Support the delivery of Insurance Distribution Directive (IDD) Training
• Reviewing all regulatory applications
• Maintaining non-UK regulatory appointments register and completing the registrations (where required, SEC, NFA etc)
• Reviewing all framework and policy documents
• Ongoing oversight of the programme, tracking and chasing completion, violations reporting and investigation.

Required Qualifications

• Hands on experience in Asset management compliance
• 3-6 years of relevant experience with Bachelor degree.
• Strong communication, interpersonal and time management skills.

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\xe2\x80\x99s 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\xe2\x80\x99ll 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

Ameriprise Financial