Principal Lead Technical Risk and Compliance
- Ameriprise Financial
- 8 - 9 years
- Noida, Gurugram
- 5 days ago
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Job Description
Key Responsibilities
- Understand and apply Technology Control Framework based on industry standards to establish, promote and manage governance, risk compliance.
- Implement security controls, risk assessment framework, and program that align to best practices and regulatory requirements.
- Ensure and monitor effective implementations of the policies and procedures.
- Inform and align decision making for information technology planning, policy and operations to meet business objectives.
- Communicate the governance activities, policies and decisions with the IT Management and Business Leadership and keep them informed of IT governance decisions that will affect IT services and projects.
- Work with different stakeholders to maintain up-to-date documentation for scoping, testing and remediation of technology controls
- Assess audit findings / gaps including control weaknesses in coordination with different stakeholders and assist with development of management action plans.
- Assess efficacy of security controls, document and report control failures and gaps to stakeholders. Provide remediation guidance and prepare management reports to track remediation activities.
- Ability to communicate a deep understanding of the business and a broad knowledge of existing risk evaluation practices is expected in this role.
- Carefully maintain complaint and nonconformance processing through records and tracking systems, including root cause and corrective actions.
- Execute strategy for dealing with increasing number of audits, compliance checks and internal assessment processes for Ameriprise standard compliance framework/practices.
- Lead the identification, assessment, and mitigation of risks across all operational, strategic, and regulatory domains.
- Oversee the governance controls across technology business units, ensuring effective governance structures, executive performance evaluations, and compliance with corporate governance codes.
- Work closely with senior management to define risk tolerance levels, ensuring that appropriate mitigation measures are in place.
- Maintain strong relationships with key internal and external stakeholders, including the Board, senior management, regulators, auditors, and business leaders.
- Provide regular updates to the Board and senior management on governance, risk, and assurance matters, including risk exposures, compliance status, and audit outcomes.
- Lead the preparation of comprehensive risk and governance reports, including annual governance reports, risk assessments, and assurance reviews for the Board and senior management.
Preferred Qualifications
- Foundational knowledge of Cloud Computing Technologies (AWS, Microsoft Azure, GCP etc ).
- Possess strong oral and written communication skills along with refined presentation skills and the ability to work with other departments and varying levels of management, including senior leadership.
- Be able to engage at all levels of the organization to organize, drive and communicate results.
- Good understanding of industry standards for compliance such as ISO 27001:2013, PCI DSS, and SSAE 18 SOC 1 / SOC 2 attestation standards.
- Defining problems, collecting, and analyzing data, establishing facts, and drawing valid conclusions
- Questions status quo and navigates through roadblocks.
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.
Full-Time/Part-Time
Timings
India Business Unit
Job Family Group
Job Classification
Industry: Financial ServicesFunctional Area / Department: Risk Management & ComplianceRole Category: Risk Management & Compliance - OtherRole: Risk Management & Compliance - OtherEmployement Type: Full timeContact Details:
Company: Ameriprise FinancialLocation(s): Noida, Gurugram
Keyskills: IT services Cloud computing Risk assessment Financial planning ISO 27001 Asset management IT management Operations Information technology
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