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Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
5,001 – 10,000 Employees
ConsultingFinanceInsurance
Ameriprise Financial Services, LLC is a financial services company focused on personalized financial planning, investment guidance, and insurance solutions. Its advisors work directly with clients to understand their goals and develop tailored strategies, supported by research from the company’s Investment Research Group and ongoing analysis of markets and the economy. Ameriprise also provides digital access to client accounts and financial documents, with an emphasis on online security and privacy.
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Compliance Analyst, Field Office Inspections – Ameriprise India

Support Ameriprise India’s field office inspection program and regulatory processes. Coordinate inspections, reporting, communications, and process improvements while meeting service-level and quality standards.

INIndiaHybridFull-timeMiddleSeniorEnglish RequiredCompliance

Description

  • Coordinate inspection announcements and scheduling for Branch and OSJ examinations with Field Office Inspection Examiners
  • Collect business and reporting data from multiple tools and reports
  • Handle post-inspection communications and books-and-records activities
  • Perform designated RiverSource, Columbia, and Field Non-branch inspections
  • Complete assigned work within established SLAs while meeting quality standards
  • Work with leaders and examiners to interpret policies, escalate issues, and maintain consistent processes
  • Support daily Field Office Inspection operations and broader departmental projects
  • Identify process improvements and implement effective solutions with colleagues
  • Keep current on relevant industry and firm practices, developments, and risks
  • Balance shifting priorities, expectations, and stakeholder concerns while working with business partners

Requirements

  • Bachelor’s degree or equivalent qualification
  • Strong written and verbal communication abilities
  • Excellent organizational and planning skills
  • Ability to handle competing priorities and meet time-sensitive deadlines
  • Ability to recognize risks and develop potential solutions
  • Demonstrated record of completing work accurately
  • High level of attention to detail
  • Audit-function experience is preferred
  • Familiarity with audit methodologies is preferred
  • Knowledge of FINRA, SEC, and other applicable regulatory requirements is preferred
  • Understanding of risks relevant to the industry and firm is preferred
  • Working knowledge of Microsoft Word, PowerPoint, and Excel is preferred

Benefits

  • Inclusive and collaborative workplace culture
  • Career development opportunities and the chance to contribute to the community
  • Hybrid schedule requiring at least three office days weekly, with flexibility to work from home two days weekly
  • Equal-opportunity recruitment with an inclusive and accessible application process
  • Reasonable accommodations available for candidates with disabilities

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