Licensing and Registration Analyst

Analyst- Licensing & Registration

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 is a critical position which requires performing all the Licenses checks and manage the Licenses transfer to adhere to the U.S regulatory guidelines as per FINRA. The requirement is to fulfill the request of On-boarding, Transition, Address Change request to be met through performing various steps on varied tools for the field members.

Key Responsibilities:

This is a key position as the effective and timely processing of Non and Registered Staff hirings. This is a critical position to help ensure the effective and timely management of U.S regulatory (FINRA) U4 and U5 Filings. In addition, the person will do case set up, onboard Field Staff i.e., Non-Registered & Registered staff, Field Transitions, Exam Request and U4 amendments.

FINRA U4 & U5 regulatory Filings

Manage multiple and changing priorities, expectations and concerns while working closely with the business partners in a focused and responsive manner.

Required Qualifications

Bachelor's Degree or Equivalent

Relevant experience should be between 1-2 years

Preferred Qualifications

Good knowledge of FINRA

Onboarding Experience

Good Communication

Customer/Client Handling

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.

About Our Company

Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 130 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

(6:30pm-3:00am)

India Business Unit

AWMPO AWMP&S President's Office

Job Family Group

Legal Affairs

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.

Experience Level

Mid Level