Job Description

The Compliance group leader provides a core review function for the Compliance Communication Review Group ensuring that investment adviser/BD communications satisfy regulatory and corporate requirements
Key Responsibilities
Review investment adviser and broker dealer communications and marketing materials for compliance with applicable regulatory requirements and internal compliance policies.

• Establish and maintain relationships with business partners and foster/promote a culture of compliance, and provide guidance to marketing relating to applicable rules and regulations.
• Continuously assess compliance risks and effectively communicate risks and suggestions for improvement to department leaders and business unit leaders, as applicable.
• Stay up to date on regulatory and industry changes.
• Work collaboratively with multiple business partners to gain a thorough understanding of our asset management products and business.
• Attend meetings and hold ad hoc discussions with marketing and other areas to understand new initiatives, offer compliance guidance, and determine the potential impact to communications and marketing materials
• Contribute to the development/improvement, maintenance and implementation of business unit procedures and employee training materials, designed to help ensure that materials produced are compliant.
• Work on special projects, and performs other duties as assigned.

Required Qualifications
Graduate from a tier 1 university with minimum 8 years of experience
Understanding of Investment Company Act of 1940
Hands on experience in reviewing broker dealer materials for compliance with regulatory requirements
Excellent English speaking and writing skills Experience in working with a multi-national organization with multiple stakeholders.
Preferred Qualifications 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\xe2\x80\x99s 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\xe2\x80\x99ll 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.






Full-Time/Part-Time Full time






Timings (4:45p-1:15a)






India Business Unit AWMPO AWMP&S President\'s Office






Job Family Group Legal Affairs