Job Description Summary
This position is responsible for providing administrative support for Ameriprise Franchise Group (AFG) Employee RP who are responsible supervision of the sales and suitability of an advisor's entire book of business. The Compliance Coordinator will be responsible for various day-to-day tasks, including assisting in the preparation of documentation for Practice Assessments.
This position is responsible for providing administrative support for Ameriprise Franchise Group (AFG) Employee RP who are responsible supervision of the sales and suitability of an advisor's entire book of business. The Compliance Coordinator will be responsible for various day-to-day tasks, including assisting in the preparation of documentation for Practice Assessments.
Key Responsibilities
- Assist with preparation for Practice Assessments, including required usage of the Field RP Support team (Field RP Bot and Environmental Scan), SPOT and the Account and Client Monitoring Hub.
- Preparing Agenda and periodically meeting with the Employee RP to review outstanding items and participate in SRRM and FFVP 1:1s as needed.
- Assist with uploading of documentation into the RP Documentation tool.
- Assist with scheduling of travel, advisor meetings (1:1s, Practice Assessments, etc.) and management of expenses as necessary
- Proactively reach out to Employee RPs on overdue RP Tasks. Assist the Employee RP with follow-up requests as needed.
Required Qualifications
Bachelor’s degree or equivalent
5-7 years of relevant experience
Understanding of the US financial system, products, services, and regulatory system.
Excellent communication skills
Relevant experience of working in similar functions
Good analytical and research skills
Preferred Qualifications
Intermediate level of MS Excel and MS Access
Knowledge of US financial system, regulatory environment, financial products/services.
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.
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’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.
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
Top Skills
What We Do
Ameriprise Financial has helped millions of clients feel confident about their financial futures for more than 125 years. Our network of approximately 10,000 financial advisors* delivers personalized financial advice to help clients reach their goals.
We believe that with the right advisor, the right advice, and the right firm, life can be brilliant.
Ameriprise has corporate locations throughout the U.S. and across the globe, and advisor offices in all 50 states.
Learn how you can build your career at Ameriprise Financial.
*Ameriprise Financial Q2 2020 Statistical Supplement
All content on this page is provided for informational purposes only and should not be used as the sole basis for investment decisions. Ameriprise Financial cannot guarantee future financial results. Investment products are not federally or FDIC insured, are not deposits or obligations of, or guaranteed by, any financial institution, and involve investment risks including possible loss of the entire amount invested.
By clicking on a hyperlink, you may be directed to a non-Ameriprise website. Be aware that the linked site will be subject to rules, regulation, and privacy and security provisions that are separate, and may differ, from Ameriprise Financial.
Investment advisory products and services are made available through Ameriprise Financial Services, LLC., a registered investment adviser.
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