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Compliance Analyst IND


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We are searching for a Business Analyst within the General Counsel's Organization Compliance team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support the Field Office Inspections department through exam announcement, scheduling, executing post inspection processes including issuing reports, and other applicable tasks as determined by the department. You will work in a collaborative culture where you will interact with a diverse set of business partners. Come and demonstrate your flexible, creative, and detailed oriented skills. Ameriprise is an organization that is committed to diversity and inclusion that supports work-life balance, structured mentoring, and career progression.

Key Responsibilities

  • Provide support to Field Office Inspection Examiners in coordinating the announcement & scheduling of Branch and OSJ inspections.
  • Conduct all communications and books and records tasks following an inspection.
  • Conduct certain RiverSource, Columbia and Field Non-branch inspections.
  • Responsible for completing the required tasks within the pre-defined SLAs, maintaining required quality parameters.
  • Maintain current knowledge of industry and firm practices, developments, and risks.
  • Partner with leadership and other examiners to clarify policies and procedures, escalate issues, and ensure consistency of process.
  • Identify process and procedure improvement opportunities and work collaboratively with colleagues/leadership to implement effective solutions.
  • Engage in day-to-day operations of the Field Office Inspection team and/or department wide projects/initiatives.

Required Qualifications

  • 1-3 years of relevant experience
  • Demonstrates strong communication skills, both written and verbal.
  • Excellent organization skills, ability to manage multiple priorities, and meet time sensitive deadlines.
  • Ability to identify risks and formulate potential solutions.
  • Proven track record of completing tasks accurately, with strong attention to detail.

Preferred Qualifications

  • Bachelor’s degree or equivalent
  • Experience in an audit function, familiarity with audit methodologies.
  • Knowledge of FINRA, SEC and other regulatory rules/requirements.
  • Knowledge of risks pertinent to industry and firm.
  • Knowledge of MS Office applications like Word, Power Point, Excel will be an added advantage.

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 you're 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.


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