Senior Compliance Analyst

This position is a critical role in helping the firm fulfill our regulatory obligations by supporting the Supervisory Controls Unit. Conduct testing of supervisory procedures (WSP, IA P&P, BUSP, etc. ) to ensure procedures are reasonably designed and executed to achieve compliance with regulatory requirements. Complete document management activities for supervisory procedures. Provide ad-hoc Supervisory Controls program and policy support.

Key Responsibilities
- Conduct testing of supervisory controls to support regulatory obligations by researching rules and regulations applicable to business activities to identify potential risks to the firm. Test and verify that supervisory procedures are reasonably designed and executed to achieve compliance with applicable securities laws and firm policy. Manage the Supervisory documents in designated tool.

- Assist in researching applicable laws and regulations, which requires general knowledge of laws, regulations and internal policies related to compliance and financial services.

- Maintain current knowledge of industry practices and developments. Complete basic data analysis conducting general reviews of internal business practices, as needed, to identify potential problems and mitigate risk.

- Manage multiple and changing priorities, expectations and concerns while working closely with the business partners in a focused and responsive manner.

Required additional knowledge, skills, experience or training to perform competently in the job

Investigative-minded problem solver with demonstrated analysis, research, and problem-solving skills.

Excellent interpersonal skills with a strong client service focus.

Strong communications skills. Must be able to explain in a clear and effective manner. Communicate testing results to people at all levels in org.

Ability to plan and manage multiple and competing priorities with a high level of detail; flexible and able to quickly adapt to change.

Ability to set clear expectations with business partners, negotiate against competing priorities when appropriate, and escalate when necessary.

Continually seeks opportunities to improve processes, expand personal skills, and evolve their role.

Series 7

Preferred additional knowledge, skills, experience or training

Documentation and leadership reporting experience will be added advantage.

FINRA Series 24

Understanding of broker-dealer functions, products, services, and industry regulations.

Familiarity with investment advisory products and services or insurance company separate accounts

Advanced Microsoft Office Excel, Access, and Word skills.

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.

(2:00p-10:30p) AWMPO AWMP&S Presidents Office Legal Affairs