Senior Compliance Analyst
Job Description
This position is to manage multiple compliance related activities such as populate master log with employee declaration for gifts and entertainment, monitor mailbox for new/changed outside activities and family relationship disclosures, reporting and database management within asset management compliance
Specific Responsibilities
Outside Activities And Family Relationships
Review new hire declarations, ensure new hires complete form
Monitor mailbox for new/changed outside activities and family relationship disclosures
Log approved disclosures
Escalate non-compliance with policy (late disclosure)
Complete AML outside activity database
Notify Licensing and Registration of U4 updates.
Gifts And Entertainment
Populate master log with employee declaration
Monitor against policy
Upload log to WORM SharePoint site
Annual Assessment
Create Annual Assessment template
Develop material (tracking log, instructions, etc.)
Monitor submissions and route them appropriately
Create project tracking log from suggested action items.
Policies And Procedures
Create workflows for documents
Produce weekly reporting
Annual Attestation
Complete annual review of responses
Report results to Compliance and Legal
Other Tasks As Assigned
Creation of CCO office material
Back up support for training administration, including review of reports, withdrawals, generating reports.
Star administration (to be defined)
Qualification
Analytical skills, attention to detail- 3 years of Compliance or related industry experience
Strong written, verbal communication, and interpersonal skills
Ability to exercise flexibility, initiative, good judgement, and discretion
Assertive, responsible, self-directed; able to work with tight deadlines and ambiguity.
Expertise with Microsoft Office tools, specifically Excel, SharePoint and PowerPoint.
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 firms 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.
Youll also have plenty of opportunities to make your mark at the office and a difference in your community. So if you&aposre 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
(4:45p-1:15a)
India Business Unit
AWMPO AWMP&S President&aposs Office
Job Family Group
Legal Affairs