Team Lead-Licensing - Gurugram, India - Ameriprise Financial

Description

This Compliance Officer/Manager position is responsible for providing compliance expertise, process review and tactical risk management for multiple business unit within organization, helping to ensure the organization and the firm is in compliance with applicable rules and regulations, policies, and procedures. This position will also responsible for developing new compliance policy and managing update and will also participate in projects that have a policy impact.

Key Responsibilities:

Serve as an expert compliance resource for general inquiries and provide compliance oversight for the multiple business units.

Attend inquiries, provide compliance expertise to business on related matter.

Assist, oversee and influence business partners to ensure that adequate compliance policies and procedures are developed and implemented.

Compliance SME on several Compliance Policies, including Disclosure of Outside Business Activities, Restricted and Prohibited Activities, Client File, and Protecting client information and records, to name a few.

Research applicable laws and regulations, analyze their effect on business practices, and work with Legal Department partners as needed to clarify requirements and address related issues.

Design controls on the compliance operational tasks such as On-boarding for Non-Registered and Registered field staff members through the company's internal systems as well as on regulatory websites, transitions, business and branch amendments, corporate terminations etc. Managing fingerprints check, Licenses transfers at FINRA and performing background checks also required for the role.

Manage multiple and evolving priorities, expectations and concerns by working closely with the business partners and the team members in a focused and responsive manner

Required Qualifications:

Bachelor degree, or equivalent experience.

7-10 years of relevant experience.

Understanding of broker-dealer regulatory framework.

Excellent English language skills—both written and spoken; as the role requires interaction with various business groups

High level expertise in Microsoft Office products (Specially Excel, PowerPoint, and Word)

Excellent interpersonal and presentation skills.

Strong Analytical Skills

Cross cultural competence; energetic individual with a positive attitude and proven leadership skills.

Preferred Qualifications

Series 7/24 licensed or desire to obtain in the future.

Experience of customer grievance handling

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/Part-Time

Full time

Timings

(8:00p-4:30a)

India Business Unit

AWMPO AWMP&S President's Office

Job Family Group

Legal Affairs