Group Lead-Compliance

3 weeks ago

Gurugram, India Ameriprise Financial Full time
The person needs to work on new account set up in compliance system for North America region.

Key Responsibilities

Performs Regulatory Monitoring, track and capture new and amended regulations impacting insurance and annuity business. Studying regulatory environment closely to keep a tab of changing requirements to help the department/ organization prepare in advance. Perform and manage FINRA Disciplinary summarization to pro-actively review compliance policies. Connect and coordinate with business and compliance leaders to implement new and updated regulatory requirements. Manage and complete unreported replacement monthly report. Manage Wholesaler call monitoring function and drive enhancement in it. Achieve departmental productivity requirements including number of calls monitored per month, per coordinator, and on schedule. Manage and perform legal research projects on diverse topics impacting insurance and annuity business or other relevant business. Manage business continuity plan for the process (Documentation requirements). Manage and enhance functional reporting and documentation. Participates and able to contribute to leadership meetings wherein important decisions for the department are made. People Management – Lead team members and manage their performance. Train new resources in the process. Manage multiple and changing priorities, expectations and concerns working closely with the business partners and the team members in a focused and responsive manner. Any other role as part of the I&A Compliance team and the larger GCO team.
 

Required Qualifications

Must demonstrate excellent understanding of Insurance and Annuity products and their marketing standards. Must demonstrate excellent understanding of legal language and analytical skills. People leadership experience. Excellent English language skills – both written & spoken as the role involves monitoring of business communications. Exceptional listening and analytical skills; Focus on quality and customer service; Candidate should have excellent interpersonal skills as the role involves regular communication with counterparts within and outside the US GCO; Ability to multitask and successfully operate in a fast paced, team environment; Must adapt well to change and successfully set and adjust priorities as needed; Moderate to high-level experience in Microsoft Office products (specifically Word and Excel) Graduate preferably from a tier 1 institute with 8 – 10 years of experience in insurance business.

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

(2:00p-10:30p)

India Business Unit

AWMPO AWMP&S President's Office

Job Family Group

Legal Affairs

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