Team Lead - Compliance

Ameriprise Legal & Compliance

Hiring from: India
Work type: Hybrid
Posted: 55 min ago

Apply for this job100% free

621,606 remote jobs, straight from company career pages

100% free · New jobs every minute

Show job description

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 serves as a key member of the Compliance Communication Review Group (CCRG), providing compliance oversight and guidance for marketing and client-facing communications. The position is responsible for reviewing a broad range of marketing materials to ensure adherence to applicable regulatory requirements, industry standards, and internal policies while helping to mitigate compliance risk.

The role offers significant exposure to global business partners and provides an opportunity to act as a trusted compliance advisor, partnering with Marketing, Legal, and business stakeholders to support compliant and effective communications across multiple regions and business lines.

Key Responsibilities

Review and approve marketing, advertising, and client communication materials to ensure compliance with applicable regulatory requirements, industry standards, and internal policies.
Provide risk-based compliance guidance and regulatory support to Marketing and business partners on communications and promotional activities.
Evaluate materials for regulatory and reputational risk, ensuring communications are fair, balanced, accurate, and supported by appropriate disclosures.
Build strong partnerships with stakeholders and serve as a trusted compliance advisor, promoting a culture of compliance and risk awareness.
Maintain expertise in marketing communication regulations and regulatory standards across the EMEA region, supporting the development and enhancement of related policies, procedures, and review processes.
Required Qualifications

Bachelor's degree, or equivalent experience
5-10 years of experience in Marketing Material Review, Advertising Review, or a related compliance services function.
Strong understanding of regulatory requirements governing marketing communications, client communications, and advertising materials within the financial services industry.
Knowledge of EMEA regulatory standards and experience reviewing marketing and promotional materials for compliance with applicable laws, regulations, and internal policies.
Excellent written and verbal communication, stakeholder management, and analytical skills, with strong attention to detail and the ability to provide practical, risk-based compliance guidance.

Preferred Qualifications

Series 7 licensed or desire to obtain in the future.
Experience of customer grievance handling

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.

Who We Are

Since 1894, Ameriprise Financial has helped people feel more confident about their financial future. Guided by strong values and a deep commitment to clients, we've remained a trusted leader in financial planning and advice for more than 130 years.

Through our businesses, Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance & Annuities, we deliver advice, investment and protection solutions designed for long-term success. While each business brings distinct capabilities and expertise, all are united by our unwavering focus on clients and a strong financial foundation.

For you, that means the opportunity to build a meaningful career in a high-performing, collaborative culture where your expertise can grow, your contributions are valued and your work can make a real impact.

Our Business and our Brands

As a global financial services company with three complementary businesses, the breadth of our capabilities sets us apart. It also creates unique opportunities for employees to learn, collaborate and grow their careers: