Senior Risk Analyst

The Analyst will collaborate with various stakeholders to gather and provide data/ information requested by regulators such as FINRA, SEC, and state regulators. This role involves facilitating discussions to align on regulatory matters, resolving escalated issues, and serving as a primary point of contact for business and senior leaders regarding regulatory inquiries and audits. The analyst will also perform control testing for various control programs and support risk management initiatives.

Key Responsibilities

• Collaborate with different teams to gather timely and accurate data/information for inquiries made by regulators and litigations team.
• Facilitate alignment conversations and resolve escalated issues related to regulatory inquiries and audits.
• Act as a point of contact for business and senior leaders on regulatory matters.
• Perform control testing for control programs including SOX, PPA (Pension Protection Act), 17a-5, and Bank Risk.
• Proactively identify opportunities to mitigate business risks and recommend solutions.
• Support various risk management initiatives for the Introducing and Clearing Broker-dealer.
• Engage in cross-functional activities within the team.

Required Qualifications

• Total experience of 3 to 5 years in financial services industry
• Bachelor s degree in or a related field
• Ability to work independently with utmost accountability
• Good knowledge of US broker-dealer industry and financial products
• Strong communication (both verbal and written) skills
• Strong interpersonal skills
• Excellent analytical capabilities

Preferred Qualifications

• Technical skills such as Power BI, PowerApps, and other Power Platform products will be an added advantage.
• Work experience at a U. S. -based broker-dealer firm, with exposure to functions such as risk management, audits, and regulatory inquiries, will be a plus.

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 Business Support & Operations