Team Lead - Compliance

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.