Job Description

Provide administrative support to Field Registered Principals (RP) which includes preparation and documentation of the practice assessment, reviewing of reports and following up with advisors, following up with RPs on open tasks, creation of supervisory documentation, and other varied tasks.Key Responsibilities:Assist with preparation for Practice Assessments, including compiling reports as needed, gathering documents for each Field Registered Principal review, completing relevant sections on the Practice Assessment document, and collecting follow-up as directed by each Field Registered Principal.Prepare for and meet with each Field Registered Principal at least weekly to review outstanding items in the office, assist with follow-up requests as needed, help prepare for the SRRM monthly 1-1, and schedule meetings on the calendar as needed. Attend regional compliance meetings as directed.Ensure that thorough and timely supervisory documentation is uploaded to the RPD Tool and recorded in the Supervisory Tracker and assist with all SAT uploadsReview various reports and follow up with applicable advisors.Help RPs prepare and document on-site security inspections/site reviews, LinkedIn reviews, Internet reviews.Work with each Field Registered Principal to ensure discipline is appropriately documented in the corresponding valuation and required follow-up is tracked in that evaluation.Proactively reach out to Field Registered Principal on overdue tasks and assist with Follow-up requests as needed.Work with each RP to ensure discipline is appropriately documented in the corresponding evaluation and required follow-up is tracked in that evaluation. Assist with the creation of disciplinary letters, evaluations, and RPD#s to track follow-up. Ensure that SRRM reviews all disciplinary letters before delivery. Also, ensure that completed and signed letters, along with subsequent follow-up, are uploaded to the respective evaluations.Assist with the collecting and logging of advertising in the RPD Tool and the Supervisory Tracker.Participate in regional compliance meetings as required (e.g., 1-1 monthly with the SRRM, monthly RP 1-1s with the SRRM, etc.).Required Qualifications
Experience working in a client service environment.Comfortable and able to "lead up" to Branch Managers/ RPs when needed.Able to manage multiple priorities and prioritizes effectively. Able to independently work with minimal supervision.Detail orientated and analytical skills. Good organization and time management skills.Able to communicate with all levels within the organization. Process oriented and can work with a team.Strong computer and software skills specifically Excel, OneNote, Adobe, and Word.Preferred Qualifications:Intermediate level of MS Excel and MS Access.Knowledge of US financial system, regulatory environment, financial products/services.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 firms 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. Youll 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 timeTimings (4:45p-1:15a)India Business Unit AWMPO AWMP&S President's OfficeJob Family Group Business Support & Operations

Ameriprise Financial