Team Lead Compliance · Noida

Ameriprise Financial is a leading global financial services firm providing comprehensive wealth management, asset management, and advisory solutions to individuals and institutions.

Key Responsibilities

• Lead and mentor a team of compliance professionals overseeing regulatory review and adherence to legal standards.
• Monitor and evaluate operational processes to ensure strict alignment with domestic and international financial regulations.
• Design, implement, and maintain effective compliance frameworks, policies, and standard operating procedures.
• Conduct periodic compliance audits, risk assessments, and internal reviews to identify potential control gaps.
• Collaborate with business leaders, legal counsel, and risk teams to remediate identified compliance deficiencies.
• Supervise the investigation and escalation of suspicious activities, policy breaches, and regulatory inquiries.
• Review compliance reports, key risk indicators, and performance metrics for executive leadership review.
• Ensure timely submission of statutory filings, compliance certifications, and regulatory reporting.
• Deliver training programs and guidance to team members and business units on updated regulatory mandates.
• Stay abreast of emerging financial regulations, industry trends, and compliance best practices to adapt control systems.
• Manage team workflows, resource allocation, performance evaluations, and quality assurance checks.