Sr Analyst-Broker Dealer
- Ameriprise Financial
- 1 - 3 years
- Noida, Gurugram
- 3 months ago
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Job Description
- Monitor the daily work in the Broker/Dealer team to ensure that industry standard service levels are met. Liaison with Security Software and Consultants (SS&C) Liaisons, Call Center and NSCC TEAMS. Interact with other teams within the Transfer Agent to assist in the implementation of new processes and continuing improvements to meet company goals. Perform daily, weekly and monthly reporting that rolls up to senior management as well Board reporting.
- Serve as primary contact with Broker/Dealer back offices via incoming calls and emails. Utilize administrative and management functions in AWD and other reporting to manipulate activities, queues, and tasks for the timely completion of work. Quality controls outgoing correspondence. Monitor the liaison inbox as well as DS Management distribution list for Large Trades. Assist with the review and tracking of Broker dealer loss items. Assist Collective Investment Trust (CIT) team with New Account set up, dealer set up and any NSCC rejects received for the CIT funds.
- Assist with the administration of the Financial Intermediary Oversight (FIO) Program. Tasks include; initial firm review, peer review, group review, monthly reporting for quarterly board reports, solicitation of Audited Control Documents from Firms in the program, follow up with firms on FIO topics that are not addressed or deemed satisfactory. Follow up performed via email and conference calls.
- Act as a liaison with various departments at SS&C. Offer support on operational topics to Strategic Relations, Sales, vendors, operational risk and other Departments within Columbia Threadneedle Investments.
- Monitor complex or sensitive requests and issues to ensure accurate and timely completion/resolution. This includes but not limited to Financial Firm Audits, Dealer fund fact sheets, annual due diligence forms as well as new dealer selling agreements.
- Assist with problems, decisions, and additional responsibilities in the Team Managers absence. Assist Operational Risk team with QC and review of quarterly AWD work volumes.
- Inform Management of volumes, trends, and training needs noted in the completion of the teams daily work via AWD BI reporting.
- Required Qualification -
- Strong written and verbal communication skills.
Solid understanding of investment operations.
Ability to recognize financial impacts and respond or escalate, as appropriate.
Ability to take initiative and remain team player, act proactively, and think creatively.
Ability to work independently following established procedures.
Knowledge for Microsoft office and related applications. - Preferred Requirements -
- Understanding and working knowledge of TA 2000 Systems.
Broker/Dealer/ Transfer agency related professional experience to be added advantage
Job Classification
Industry: Financial ServicesFunctional Area / Department: BFSI, Investments & TradingRole Category: Trading, Asset & Wealth ManagementRole: Equity DealerEmployement Type: Full timeContact Details:
Company: Ameriprise FinancialLocation(s): Noida, Gurugram+ View Contact
Keyskills: Administration Due diligence C Operational risk Mutual funds Financial planning Asset management MS Office Monitoring Investment
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