Team Lead-Licensing & Registration - Noida @ Ameriprise

This Compliance Officer/Manager position is responsible for providing compliance expertise, process review and tactical risk management for multiple business unit within organization, helping to ensure the organization and the firm is in compliance with applicable rules and regulations, policies, and procedures. This position will also responsible for developing new compliance policy and managing update and will also participate in projects that have a policy impact.

Key Responsibilities:

• Serve as an expert compliance resource for general inquiries and provide compliance oversight for the multiple business units.
• Attend inquiries, provide compliance expertise to business on related matter.
• Assist, oversee and influence business partners to ensure that adequate compliance policies and procedures are developed and implemented.
• Compliance SME on several Compliance Policies, including Disclosure of Outside Business Activities, Restricted and Prohibited Activities, Client File, and Protecting client information and records, to name a few.
• Research applicable laws and regulations, analyze their effect on business practices, and work with Legal Department partners as needed to clarify requirements and address related issues.
• Design controls on the compliance operational tasks such as On-boarding for Non-Registered and Registered field staff members through the companys internal systems as well as on regulatory websites, transitions, business and branch amendments, corporate terminations etc. Managing fingerprints check, Licenses transfers at FINRA and performing background checks also required for the role.
• Manage multiple and evolving priorities, expectations and concerns by working closely with the business partners and the team members in a focused and responsive manner

Required Qualifications:

• Bachelor degree, or equivalent experience.
• 7-10 years of relevant experience.
• Understanding of broker-dealer regulatory framework.
• Excellent English language skills both written and spoken; as the role requires interaction with various business groups
• High level expertise in Microsoft Office products (Specially Excel, PowerPoint, and Word)
• Excellent interpersonal and presentation skills.
• Strong Analytical Skills
• Cross cultural competence; energetic individual with a positive attitude and proven leadership skills.

Preferred Qualifications

• Series 7/24 licensed or desire to obtain in the future.
• Experience of customer grievance handling