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 1-3 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. 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 (4:45p-1:15a) India Business Unit AWMPO AWMP&S Presidents Office Job Family Group Legal Affairs