Senior Compliance Analyst @ Ameriprise Financial

The Sr Compliance Analyst is an important member of our Complaints team who is responsible for helping to ensure our advisors and the firm comply with applicable rules and regulations, policies, and procedures. This is a key position as the effective and timely processing of complaints is necessary to mitigate regulatory risk to the firm. The Compliance Analyst is required to review and recommend appropriate outcomes to client complaints and handle FINRA filings when applicable.

Responsibilities

• The end-to-end processing and resolution of customer complaints and field requests, including contacting field members and clients as necessary.
• Ensuring that customer complaints are processed efficiently, accurately and timely to meet regulatory requirements and expectations, including negotiating complex client settlements and processing as needed.
• Energetic, service-oriented individual with a positive attitude. Superb written and verbal communication expertise. Excellent interpersonal skills with the ability to establish relationships internally and externally. Flexibility to change as well as the ability and desire to influence change. Ability to think strategically. Capacity to plan and manage multiple and competing priorities in a highly dynamic environment and to meet deadlines. Firm understanding of the products and services offered by a broker dealer, as well as supervisory responsibilities of each. Ability to utilize multiple technology platforms. Demonstrated quantitative and qualitative analytical and problem-solving skills. Strong attention to detail. Four-year college degree, or equivalent experience. Three plus years of broker-deal experience. Prefer Series 7 or desire to obtain in the future.

Job Qualifications

• Strong verbal and written communication skills
• Graduation and post-graduation from a reputed institute
• Ability to work effectively in a team environment
• Strong understanding of US financial industry. Understanding of Ameriprise products and services will be added advantage
• Experience in handling client complaints, conducting research/investigations on complaints, drafting client letters and communications.
• Experience in Compliance domain will be preferred.
• FINRA series 7, 24, 66 etc. certified or will be asked to earn the certifications within stipulated time frame.

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.