Front Office Controls Analyst

Ameriprise Financial, Inc.
Portland, USA
Sep 17, 2019
Oct 09, 2019
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Columbia Threadneedle Investments is a leading global asset management group that provides a broad range of actively managed investment strategies and solutions for individual, institutional and corporate clients around the world. With more than 2000 people including over 450 investment professionals based in North America, Europe and Asia, we manage over $400 billion of assets (as of May 2018) across developed and emerging market equities, fixed income, asset allocation solutions and alternatives. Our priority is the investment success of our clients. We know investors want strong and repeatable risk-adjusted returns and we aim to deliver this through an active and consistent investment approach that is team-based, risk-aware and performance-driven.

Job Description:

The Front Office Controls Analyst supports the development, implementation, embedding and oversight of Front Office processes and controls. This is a progressive and dynamic role at a time of significant regulatory, technology and organizational change and will be critical to supporting the development of global strategic objectives relating to operational risk management across the Front Office. Primary focus on regional (North America) activities as part of a global front office team.


* Ongoing development of our global control framework across fixed income, equities, and multi asset strategies.
* Escalation and management of issues arising. Monitor and investigate risk events (REV). Recommend actions to prevent recurrence. Monitor closure of actions.
* Ongoing review of regional processes, controls and providing recommendations; evaluate and improve the effectiveness of controls; challenging the status quo.
* Participate in policy reviews; Review and/ or development of platform procedures and process maps to ensure they are complete, routinely reviewed and communicated.
* Assist with Risk and Controls Self-Assessment (RCSA) process; complete annual review and obtain approvals; Ensure the RCSA is properly maintained and updated throughout the year.
* Liaise with Risk Control Services and Compliance; Monitor closure of any Audit or Compliance issues/actions; Assist with external audits related to internal control deliverables.
* Manage, monitor and oversee system access review and segregation of duty responsibilities related to Front Office systems.
* Assist in front office controls-related projects on an ongoing basis.
* Develop, create or produce monthly management information reporting (ie, REV's, KPIs, KRI's, trending, etc.) in conjunction with the broader global front office team.
* Take actions to maintain a strong risk culture and enforce the front office control environment.

Required Qualifications:

* 5+ years' experience, Bachelor's degree or higher. Degree focus Finance or Accounting/Audit.
* Previous experience within a risk, audit or compliance controls environment; Strong controls background, quick to assess business processes and identify gaps.
* Team player with a proven ability to develop and build strong stakeholder relationships.
* Excellent report writing and presentation skills (including advanced excel, word and power point skills).
* Methodical mindset with strong analytical skills and attention to detail.
* Confident, robust, self-starter with strong communication skills; energized by building relationships and challenging the status quo.
* Ability to manage complex events/issues with a degree of pragmatism whilst maintaining the integrity in respect of the task to hand.

Preferred Qualifications:

* Experience in Asset Management technologies, processes, products and controls.
* Completion of or working towards an additional professional education or qualification (e.g. CIA, CFA,) desirable.
* Front office systems (trading, risk, attribution) and process knowledge.