Team Lead Compliance

Ameriprise Financial Services, LLC; Dadri; Hybrid; INR 1,800,000 - 3,000,000; Full time

Job summary

Ameriprise India LLP is seeking a Senior Surveillance & Investigations professional to oversee end-to-end monitoring of electronic communications across global markets. You will collaborate with Legal, Risk, Compliance, and Technology teams to strengthen surveillance protocols.

The role requires 6-7 years in compliance/e-comm surveillance, strong regulatory knowledge, and leadership of cross-regional teams in a client-focused financial services environment.

Qualifications

• Master’s/bachelor’s degree in finance, Accounting, Business Management, or a related field.
• Strong knowledge of global regulatory frameworks (FINRA, SEC, FCA, etc.).
• Experience: 6-7 years in Compliance, e-Comm Surveillance.

Responsibilities

• Lead end-to-end electronic communications surveillance reviews (Bloomberg chats, emails, IMs, texts, social media).
• Monitor social media for confidential/proprietary information; approve profiles per policy.
• Identify and escalate indicators of market abuse, insider trading, misconduct, or regulatory breaches.
• Ensure investigations follow internal policies, regulatory requirements, and proper documentation.

Skills

Regulatory frameworks

Investigations

Surveillance

Stakeholder management

Education

Master’s/ bachelor’s in finance/Accounting/Business

Tools

Compliance Accelerator

Insight Surveillance

HearSay

Yext

Microsoft Office

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.

Job Description

The role involves working on electronic communications surveillance and investigations across global markets within compliance systems for the NA and EMEA regions.

Surveillance & Investigations

• Lead and oversee end-to-end surveillance reviews of electronic communications, including Bloomberg chats, emails, instant messages, text messages, and social media platforms.
• Monitor and review social media activity (posts, likes, private messages), ensuring no confidential or proprietary information is disclosed; approve social media profiles in line with policy.
• Proactively identify, investigate, and elevate indicators of market abuse, insider trading, misconduct, or regulatory breaches.
• Ensure investigations are conducted in accordance with internal policies, regulatory requirements, and evidentiary standards, including proper documentation and record retention.

Regulatory Compliance & Risk Oversight

• Stay current with regulatory developments, enforcement actions, and industry best practices to continuously enhance surveillance programs.
• Ensure surveillance frameworks align with global regulatory requirements (e.g., FINRA, SEC, FCA, and other regional regulators).
• Maintain high standards of documentation, audit trails, and case management to support regulatory inspections and internal audits.
• Contribute to compliance documentation, risk assessments, and control frameworks to enhance governance.

Global Stakeholder Management

• Act as a key point of contact for onshore partners and senior stakeholders, ensuring clear, consistent, and timely communication.
• Collaborate with Legal, Risk, Compliance, and Technology teams to standardize and strengthen surveillance protocols.
• Drive alignment and consistency across surveillance operations in APAC, EMEA, and North America.

Operations & Delivery Ownership

• Own and manage SLA adherence across daily, weekly, monthly, and quarterly deliverables.
• Ensure high-quality, timely execution of surveillance reviews and investigations.
• Lead remediation efforts and support continuous improvement initiatives across processes and controls.
• Oversee preparation and delivery of MIS, dashboards, and management reports to provide actionable insights.
• Support business leaders with ad-hoc analysis, reporting, and data-driven recommendations.

Team Leadership and Process Improvement

• Lead, mentor, and develop team members, fostering a high-performance and collaborative environment.
• Act as an escalation point for complex cases and provide guidance on investigations and decision-making.
• Ensure adherence to SOPs, workflows, and compliance standards while driving a culture of accountability and continuous learning.

Qualifications/Skills

• Master’s/bachelor’s degree in finance, Accounting, Business Management, or a related field
• Strong knowledge of global regulatory frameworks (FINRA, SEC, FCA, etc.)
• Solid understanding of financial services industry (asset/wealth management, investment banking, broker-dealers, private equity)
• Knowledge of financial instruments (equities, fixed income, derivatives, structured products)
• Strong investigative, analytical, and decision-making skills
• Excellent written and verbal communication skills
• Proficiency in Microsoft Office tools (Excel, PowerPoint, etc.)
• Experience: 6-7 years of relevant experience in Compliance, e-Comm Surveillance
• Hands-on experience in investigations, regulatory reviews, and surveillance case handling
• Exposure to global markets and securities trading environments

Preferred Skills

• Experience working with global stakeholders and cross-regional teams
• Familiarity with e-comm surveillance tools (e.g., Compliance Accelerator, Insight Surveillance, HearSay, Yext)
• Strong ability to manage multiple priorities in a fast-paced environment
• Strong thought leadership

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 (8:00p-4:30a) 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.