Compliance Lead

This role supports Compliance managers and leadership across AWM Compliance by conducting the intake, support, and reporting processes of Regulatory Monitoring and Disciplinary Actions Monitoring. Performs Regulatory Monitoring, track and capture new and amended regulations impacting Ameriprise.

Key Responsibilities

• Monitor multiple governmental and regulatory websites and email newsletters to identify potentially applicable US securities and banking regulatory changes and industry disciplinary actions (e.g., fines). Performs Regulatory Monitoring, track and capture new and amended regulations impacting Ameriprise business. Studying regulatory environment closely to keep a tab of changing requirements to help the department/ organization prepare in advance.
• Perform FINRA Disciplinary summarization to pro-actively review compliance policies. Compile data and information to facilitate triage by experts including writing initial brief summaries. Take notes and enter updates during triage meetings.
• Create monthly and quarterly reports in excel, PowerPoint and Power BI. Conduct ad hoc analysis to identify historical matters as directed by leaders. As the analyst becomes more knowledgeable, they will be expected to independently conduct more refined triage, facilitate meetings, and identify process and reporting enhancements.
• Manage multiple and changing priorities, expectations and concerns while working closely with the business partners in a focused and responsive manner.

Required Qualifications

• Excellent analytical and research skills.
• Strong organizational skills and attention to details are needed to ensure proper record keeping.
• Excellent English language skills - both written spoken as the role involves monitoring of business communications.
• Good understanding of US financial industry
• Advance level expertise in Power BI/Excel/Power Automate based reports/tools
• 5-7 years of relevant experience with Bachelor degree.

Preferred Qualifications

• Deep understanding of US financial products.
• SIE or S7 or 6

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 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.

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.