Compliance Analyst

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. The analyst will work in a collaborative culture where he/she will interact with a diverse set of business partners.

Key Responsibilities

Field office inspection

• Provide support to Field Office Inspection Examiners in coordinating the announcement & scheduling of Branch and OSJ inspections. Gathering data through multiple reports from different tools for business and reporting purposes. 
• 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 predefined SLAs, maintaining required quality parameters.
• Partner with leadership and other examiners to clarify policies and procedures, escalate issues, and ensure consistency of process. Engage in day-to-day operations of the Field Office Inspection team and/or department wide projects/initiatives.
• Identify process and procedure improvement opportunities and work collaboratively with colleagues/leadership to implement effective solutions.
• Maintain current knowledge of industry and firm practices, developments, and risks.
• Manage multiple and changing priorities, expectations and concerns while working closely with the business partners in a focused and responsive manner.

Required Qualifications

• Bachelor's degree or equivalent
• Excellent communication skills – will be required to liaise independently with senior US counterparts on a variety of business deliverables / projects

Preferred Qualifications

• Master's degree or equivalent
• Knowledge on financial industry, industry trends
• Highly proficient independent communicator

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.

Full time

(8:00p-4:30a)

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