Senior Compliance Analyst

56672 Ameriprise India LLP; Delhi; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

Ameriprise India LLP invites a Senior Compliance Analyst to join our Bank Compliance program. This role focuses on executing monitoring, testing, and regulatory research to ensure alignment with applicable banking laws, regulations, and internal policies.

The ideal candidate has 4–6 years in banking compliance, strong analytical skills, and experience supporting U.S. regulatory programs. Evening shift hours and a collaborative, global team environment are expected.

Qualifications

• Bachelor's degree or equivalent required.
• 4-6 years of banking, compliance, risk, audit, or financial services experience.
• Strong understanding of consumer banking products and compliance risk management frameworks.
• Experience with compliance testing, monitoring, QA, risk assessments, or control reviews.
• Excellent written and verbal communication; advanced MS Office skills.

Responsibilities

• Conduct risk-based compliance testing and monitoring reviews of banking functions to assess adherence to laws and internal policies.
• Perform reviews of consumer banking products, processes, marketing materials, and digital content.
• Identify risks, gaps, and remediation recommendations with root-cause analysis.
• Research regulatory requirements and assess their impact on processes and products.
• Collaborate with stakeholders and leadership to implement regulatory requirements and corrective actions.
• Escalate significant issues and support regulatory examinations and audits.

Skills

Analytical thinking

Problem-solving

Communication skills

Education

Bachelor's Degree or equivalent

Tools

Excel

Word

PowerPoint

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 We have an exciting opportunity for a Senior Compliance Analyst supporting the Ameriprise Bank, FSB Compliance Program. This position is responsible for executing compliance monitoring, testing, oversight, regulatory research, and advisory activities to help ensure adherence to applicable banking laws, regulations, and internal policies. The role partners closely with Bank Compliance leadership, business partners, and global teams to identify, assess, and mitigate compliance risks while supporting a strong culture of compliance across the organization.

Key Responsibilities

• Conduct risk-based compliance testing and monitoring reviews of Ameriprise Bank, FSB business functions to assess adherence with applicable federal banking laws, regulations, and internal policies.
• Perform compliance reviews covering consumer banking products, operational processes, customer communications, marketing materials, and digital content, including consumer-facing websites.
• Identify compliance risks, control gaps, and process deficiencies; prepare detailed observations, root cause analysis, and recommendations for remediation.
• Research and interpret applicable regulatory requirements and assess their impact on business processes, products, and strategic initiatives.
• Partner with business stakeholders and compliance leadership to support implementation of regulatory requirements and corrective action plans.
• Review and analyze data to identify emerging compliance trends, issues, and potential areas of concern.
• Maintain documentation, testing workpapers, issue tracking, monitoring results, and reporting in accordance with department standards.
• Support regulatory change management activities by assessing regulatory developments and communicating impacts to business partners.
• Serve as a compliance resource for assigned business areas and provide guidance regarding compliance obligations and risk management practices.
• Collaborate with U.S.-based compliance, legal, risk, audit, operations, and business teams to support ongoing compliance oversight activities.
• Escalate significant issues, compliance concerns, and regulatory risks to Compliance Management as appropriate.
• Participate in special projects, regulatory examinations, internal audits, and compliance initiatives as required.

Required Qualifications

• Bachelor's Degree or equivalent combination of education and experience.
• 4-6 years of banking, compliance, risk, audit, regulatory or financial services experience.
• Strong understanding of consumer banking products, banking operations, and compliance risk management frameworks.
• Knowledge of regulatory requirements applicable to consumer banking, including guidance from: Federal Reserve Consumer Financial Protection Bureau (CFPB) Office of the Comptroller of the Currency (OCC) Federal Deposit Insurance Corporation (FDIC), where applicable.
• Experience conducting compliance testing, monitoring, quality assurance, risk assessments, or control reviews.
• Strong analytical and problem-solving skills with ability to assess complex regulatory requirements.
• Excellent written and verbal communication skills.
• Intermediate to advanced Microsoft Excel, Word, and PowerPoint skills.
• Ability to work effectively in a global environment and support U.S. business partners during evening shift hours.

Preferred Qualifications

• 5+ years of banking compliance, regulatory compliance, internal audit, risk management, or related experience.
• Experience supporting U.S. banking compliance programs.
• Knowledge of consumer protection regulations, deposit products, lending compliance, advertising compliance, and fair banking requirements.
• Experience reviewing marketing materials, customer communications, disclosures, and digital banking content.
• Experience developing process maps, risk assessments, testing scripts, and compliance monitoring programs.
• Experience working with compliance management systems, issue management platforms, and regulatory change management tools.

In-Office Collaboration

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least three (3) days per week, with flexibility to work from home two (2) days per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

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

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.

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. 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: Ameriprise Financial: Financial planning, advice and wealth management. Columbia Threadneedle Investments: Global asset management serving individual, institutional and corporate clients. RiverSource Insurance & Annuities: Products and solutions designed to help clients protect and grow their wealth. Explore opportunities within each business and region below. Ameriprise US | Careers Ameriprise India | Careers Columbia Threadneedle Investments US | Careers Columbia Threadneedle Investments EMEA APAC | Careers RiverSource | Careers