Compliance Lead
- Full time
- Noida IN
- @Ameriprise Financial Services
Job Detail
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Job ID 2170
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Career Level Officer
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Experience 4-6 Years
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Industry Finance
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Qualifications Degree Bachelor
Job Description
Key Responsibilities:
- Ensure timely and accurate completion of monthly monitoring program. 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 and improvement in respect of key monitoring processes. Providing on-the-job training and support to the junior analyst.
- Provide cover for Surveillance Manager when required. Develop and maintain a good working relationship with the GCO team.
- Assist in the development of a globalized trade monitoring and surveillance program leveraging the skills and best practices of each region in order to ensure efficient and effective processes which are appropriate to meet legal, regulatory and business requirements.
- Seek internal and external training and development opportunities in order to ensure continuing development of technical knowledge and leadership/ management skills.
Required Qualifications:
- Hands on experience on trade surveillance process
- 5-7 years of relevant experience with Bachelor degree.
- Strong communication, interpersonal and time management skills.
- Strong excel, word and ppt skills
- Intermediate Power BI, Tableau or any other reporting tool is a plus
- Exposure to SharePoint and power automate
