Compliance Lead

Job Description

The person needs to work on insurance and annuity product compliance within RVS Compliance. Key Responsibilities Working with internal teams and business partners to assist on assigned subjects for multiple lines of business and/or larger scope to ensure adequate compliance policies and procedures are developed and implemented Assist with regulatory exams and inquiries Assist with investigation of complex issues, gathering and researching relevant information Assist in researching applicable laws and regulations, analyzing their effect on business practices and working with Legal department partners as needed to clarify requirements Maintain knowledge of industry practices and developments, escalating issues and maintaining records as required and appropriate. Provide compliance support to assigned business lines, acting as a support resource for business partners and leaders with respect to key business initiatives and compliance requirements. Assist in spotting trends and influencing change Engage Business counterparts to ensure solutions are appropriate as per business requirement and level of readiness Coordinate and prioritize business needs in a matrix management environment Documentation and communication of results and recommendations to external and internal teams Required Qualifications Bachelors degree or equivalent from a reputed institute 5 - 8 years of overall experience; 4 - 6 years of relevant experience in the Insurance and Annuity domain. Solid understanding of 1-3 applications within platform, with in-depth understanding of at least 1 application Good understanding of the business unit they support Strong quantitative and problem-solving skills Excellent knowledge of MS Excel, Power point and Word Preferred Qualifications Highly motivated self-starter with excellent verbal and written communication skills Ability to work effectively in a team environment on multiple projects and drive results through direct and in-direct influence Candidate should be willing to learn and understand NASD, SEC and other regulatory environments Financial services experience preferred 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 youre 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. Full-Time/Part-Time Timings (2:00p-10:30p) India Business Unit AWMPO AWMP&S Presidents Office Job Family Group Legal Affairs