Senior Compliance Analyst
2 weeks ago
Job Summary
The Compliance Analyst is a key member of our Complaints team responsible for ensuring our advisors and the firm comply with applicable rules and regulations, policies, and procedures. This role is crucial in mitigating regulatory risk to the firm.
Key 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.
- Providing energetic, service-oriented support with a positive attitude, superb written and verbal communication expertise, and excellent interpersonal skills to establish relationships internally and externally.
- Flexibility to change and the ability to influence change, with the capacity to think strategically, plan, and manage multiple and competing priorities in a highly dynamic environment.
- Firm understanding of the products and services offered by a broker-dealer, as well as supervisory responsibilities of each, with the ability to utilize multiple technology platforms.
- Demonstrated quantitative and qualitative analytical and problem-solving skills, with strong attention to detail.
Required Qualifications
- Strong verbal and written communication skills.
- Graduation and post-graduation from a reputable institute.
- Ability to work effectively in a team environment.
- Strong understanding of the US financial industry, with an added advantage of understanding Ameriprise products and services.
Preferred Qualifications
- Experience in handling client complaints, conducting research/investigations on complaints, drafting client letters and communications.
- Experience in the Compliance domain will be preferred.
- FINRA series 7, 24, 66, etc., certified or will be asked to earn the certifications within a stipulated time frame.
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.
We are 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.
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.
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