Group Lead Compliance

Ameriprise Financial — Noida, Uttar Pradesh, India

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 The person needs to work on new account set up in compliance system for North America region. Key Responsibilities Oversee end-to-end compliance operations including advisor onboarding, transitions, licensing, and exam request processing. Ensure processes are executed in line with regulatory requirements, internal policies, and established SLAs. Monitor operational performance, quality metrics, and throughput to ensure consistent and accurate delivery. Identify risks, control gaps, and process inefficiencies; implement corrective and preventive actions. Manage and develop a team of 10–12 employees, including performance management, coaching, and career development. Drive a high-performance culture with a strong focus on accountability, control discipline, and employee engagement. Handle day-to-day supervision including workload allocation, conflict resolution, and team motivation. Strengthen process controls and governance frameworks across compliance operations. Conduct periodic revie

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