Group Lead Compliance

Key Responsibilities

• Conduct testing of Ameriprise Bank, FSB business functions for compliance with applicable laws and regulations under supervision of a Compliance Manager. Assist with performing reviews and/or collaborate with non-US team members to conduct global reviews.
• Assess adherence to compliance policies and procedures under the supervision of a Compliance Manager including review of Marketing materials and consumer facing website.
• Research applicable laws and regulations, analyze their effect on business practices, and work with Compliance Managers, as needed, to clarify requirements and address related issues. Identify potential gaps in Marketing materials and consumer facing websites and communicate gaps to Bank Management coordinating with Compliance Managers to resolve gaps.
• Maintain current knowledge of industry practices and developments.
• Raise issues and maintain records, as required or appropriate.
• Serve as an initial resource on assigned subjects for multiple lines of business and/or larger scope regulations, provide compliance support to assigned business lines, and act as a initial resource for business partners. Escalate topics appropriately to Compliance Managers or the Chief Compliance Officer.
• Review internal and external business practices, analyze data, and work with partners in covered business lines to identify potential problems. Work with Compliance Managers or the Chief Compliance Officer to close recognized gaps and support effective day-to-day compliance oversight.

Required Qualifications

• Bachelor's degree or equivalent (4-years)
• 7+ years of relevant experience
• Knowledge of Federal Reserve, Consumer Financial Protection Bureau and Office of the Comptroller of the Currency regulatory requirements for consumer banking.
• Strong written and verbal communication skills.
• Facilitation skills.
• Ability to prepare/present workpapers, data and other material for Compliance Manager review.
• Intermediate-level skills in Microsoft Word, Excel, and PowerPoint.

Preferred Qualifications

• Strong knowledge of banking industry.
• Prior experience with bank operations and/or advertisements.
• Experience in developing process flows/diagrams. Working knowledge of Microsoft Office software.

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 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 you're 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.