Senior Compliance Analyst

Job Detail

Key Responsibilities:

The end-to-end processing and resolution of customer complaints and field requests, including contacting field members and clients as necessary.
Ensuring that customer complaints are processed efficiently, accurately and timely to meet regulatory requirements and expectations, including negotiating complex client settlements and processing as needed.
Energetic, service-oriented individual with a positive attitude. Superb written and verbal communication expertise. Excellent interpersonal skills with the ability to establish relationships internally and externally. Flexibility to change as well as the ability and desire to influence change. Ability to think strategically. Capacity to plan and manage multiple and competing priorities in a highly dynamic environment and to meet deadlines. Firm understanding of the products and services offered by a broker dealer, as well as supervisory responsibilities of each. Ability to utilize multiple technology platforms. Demonstrated quantitative and qualitative analytical and problem-solving skills. Strong attention to detail. Four-year college degree, or equivalent experience. Three plus years of broker-deal experience. Prefer Series 7 or desire to obtain in the future.

Required Qualifications:

Strong verbal and written communication skills
Graduation and Post-Graduation from a reputed institute
Ability to work effectively in a team environment
Strong understanding of US financial industry. Understanding of Ameriprise products and services will be added advantage

Preferred Qualifications:

Experience in handling client complaints, conducting research/investigations on complaints, drafting client letters and communications.
Experience In Compliance Domain Will Be Preferred.
FINRA series 7, 24, 66 etc. certified or will be asked to earn the certifications within stipulated time frame.