Group Lead Compliance
- Ameriprise Financial
- 5 - 8 years
- Noida, Gurugram
- 5 months ago
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Job Description
This role offers the opportunity to stay ahead of evolving regulatory developments across EMEA and APAC, assess their impact on the asset management business, and support the Head of Compliance and the Regulatory Developments Team in delivering key departmental objectives.
Tracking regulatory developments:
- Identify, assess and track key regulatory developments and changes for the relevant business areas within Columbia Threadneedle Investments (EMEA and APAC). This includes using the regulatory tracker tool and reviewing regulatory websites and other sources of information in all applicable jurisdictions.
- Maintain the regulatory developments tracker and SharePoint log, following up on status against regulatory change measures to be implemented.
- Help prepare and contribute to the meetings that receive Compliance updates.
- Working with the North America Regulatory Developments team and process when appropriate.
Regulatory analysis:
- Complete the initial assessment of any regulatory development coming down the line to make an assessment if it affects the organisation and seek views from interested parties to substantiate this assessment.
- Assist with deeper dive analysis and interpretation of regulatory changes and where appropriate, support GCO in providing timely advice and guidance to the business, with focus on regulatory developments.
- Liaise with Columbia Threadneedle America on SEC regulation that may need to be interpreted and assessed for its impacts on the EMEA business.
Reporting:
- Communicate to relevant business partners and GCO colleagues the identification of a new regulatory development impacting Columbia Threadneedle Investments
- Assist with the preparation of various reports including Management Information (MI) on regulatory developments;
- Help maintain regulatory change sections of the intranet as a means of disseminating information and the regulatory developments newsletter.
Projects Participation:
- Support the identification and launch of new regulatory developments that will be implemented in collaboration with Business Change .
- Participate in some regulatory projects.
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Regulatory training
- Assess the impact that UK/EU/APAC regulatory change may have on the US businesses and liaise / report I provide training to them where necessary.
- Attend trade association forums, help put together training slides and presentations and assist with training where necessary.
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 youre 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.
Full-Time/Part-Time
Timings
India Business Unit
Job Family Group
Job Classification
Industry: Financial ServicesFunctional Area / Department: Risk Management & ComplianceRole Category: Risk Management & Compliance - OtherRole: Risk Management & Compliance - OtherEmployement Type: Full timeContact Details:
Company: Ameriprise FinancialLocation(s): Noida, Gurugram
Keyskills: Training President Trade Compliance Group Lead Intranet Financial planning Legal Asset management
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