Senior Compliance Analyst

About Our Company

Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 20 years. We are part of Ameriprise Financial Inc., a US financial planning company headquartered in Minneapolis with a global presence and diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. 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.

Job Description

This role supports compliance operations by managing workflows, reviewing alerts, validating data, and delivering accurate reporting, while also driving automation and process improvements. Knowledge of the STAR tool is a plus.

Key Responsibilities

Data Management

Administer certifications and related follow up.

Ensure accuracy of data feeds into the compliance tool through validation and reconciliations. Includes investigating rejected files.

Investigate and resolve data discrepancies between the tool and source systems.

Monitor, analyze and resolve the trade errors in the system.

Manage the end-to-end process for statement and contract note retrieval.

Maintain documentation of data processes for audit readiness.

Reporting

Assist with the generation of scheduled and ad-hoc compliance reports from the tool for management and regulatory purposes.

Create dashboards and visualizations using built-in reporting features and Power Platform.

Automation & Process Improvement

Identify repetitive compliance tasks and suggest and design automation solutions to reduce manual effort.

Develop scripts or workflows (using SQL, Python, or RPA tools) to automate data imports, alert handling, and report generation.

Partner with IT and compliance technology teams to integrate the compliance tool with other systems for seamless data flow.

Monitor automation performance, troubleshoot issues, and continuously optimize processes.

Document automation logic and maintain version control for audit and governance purposes.

Required Skills

Strong understanding of financial products and equity/ bond markets.

Strong written, verbal communication, and interpersonal skills.

Ability to work collaboratively with compliance and technology teams.

Knowledge of StarCompliance will be an added advantage.

Proficiency in Excel and BI tools; experience with SQL or scripting for automation.

Familiarity with RPA tools or automation frameworks is a plus.

Detail-oriented with strong analytical and problem-solving skills.

Ability to exercise flexibility, initiative, good judgement, and discretion.

Assertive, responsible, self-directed; able to work with tight deadlines and ambiguity.

Qualifications

Bachelor’s degree in finance, Compliance, Data Analytics, or related field.

3–5 years of experience in compliance operations, data management, reporting, or automation roles.

Securities knowledge - types and products.

Exposure to automation projects and data governance principles.

Full-Time/Part-Time

Full time

Timings

(2:00p-10:30p)

India Business Unit

AWMPO AWMP&S President's Office

Job Family Group

Legal Affairs

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, military status, veteran status, marital status, pregnancy, family status or any other basis prohibited by law.

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.