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Lead compliance operations for Ameriprise India LLP, managing advisor onboarding, licensing & cross‑regional regulatory processes.
Drive process excellence, risk management, and a high‑performance culture in a hybrid role in Noida, India.
About Our Company
Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 20 years. We are part of Ameriprise Financial Inc., a US financial planning company headquartered in Minneapolis with a global presence and diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. 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.
Job Description
The person needs to work on new account set up in compliance system for North America region.
Key Responsibilities
- Oversee end-to-end compliance operations including advisor onboarding, transitions, licensing, and exam request processing.
- Ensure processes are executed in line with regulatory requirements, internal policies, and established SLAs.
- Monitor operational performance, quality metrics, and throughput to ensure consistent and accurate delivery.
- Identify risks, control gaps, and process inefficiencies; implement corrective and preventive actions.
- Manage and develop a team of 10–12 employees, including performance management, coaching, and career development.
- Drive a high-performance culture with a strong focus on accountability, control discipline, and employee engagement.
- Handle day-to-day supervision including workload allocation, conflict resolution, and team motivation.
- Strengthen process controls and governance frameworks across compliance operations.
- Conduct periodic reviews, QA checks, and root cause analysis to identify systemic issues.
- Partner with internal audit, risk, and compliance stakeholders to support reviews and ensure readiness for audits.
- Ensure timely escalation and resolution of compliance or operational issues.
- Act as the primary escalation point for complex operational and compliance-related issues.
- Collaborate with business partners, compliance advisory teams, and senior leadership. Provide leadership reporting on metrics, risks, and key observations. Serve as a Subject Matter Expert (SME) for compliance operations processes and regulatory expectations.
- Demonstrate thought leadership by driving process improvements, automation, and standardization initiatives.
- Stay updated on regulatory developments and translate them into actionable process enhancements.
- Support training and knowledge development within the team.
Required Qualifications
- 6-8 years of experience in Compliance Support functions.
- Sound knowledge of financial products - Equities, Mutual Funds, Insurance, Annuities etc.
- Possess strong knowledge of MS Excel, MS Power-point, MS Word, Power -BI
- Good understanding of US and EMEA Regulatory Framework
Preferred Qualifications
- SIE or Series 7 will be added advantage
In-Office Collaboration
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least three (3) days per week, with flexibility to work from home two (2) days per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
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
Legal Notice
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, military status, veteran status, marital status or any other basis prohibited by law.
We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.