Compliance Analyst - Field Office Inspection

About Our Company

Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 20 years. We are part of Ameriprise Financial Inc., a US financial planning company headquartered in Minneapolis with a global presence and diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. 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.

Job Description

We are searching for a Business Analyst within the General Counsels 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

• 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.
• 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

• 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.

In-Office Collaboration

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least three (3) days per week, with flexibility to work from home two (2) days per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Full time(8:00p-4:30a)AWMPO AWMP&S Presidents OfficeLegal Affairs

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, military status, veteran status, marital status, pregnancy, family status or any other basis prohibited by law.

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.

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