Senior Supervision Support Associate

Job Title

Drive effective supervisory oversight and risk management by enabling Registered Principals (RPs) to meet regulatory and compliance expectations through structured governance, proactive monitoring, and disciplined execution of supervisory processes.

Key Responsibilities

• Prepare for and meet with each RP periodically,
• Assist with follow-up requests as needed,
• Assist with meeting prep and/or scheduling as needed
• Proactively reach out to advisors to ensure completion of Compliance Tracker, Required Training items, IRA Rollover alerts, etc.
• Assist RP with audit preparation, scheduling, and responses to internal and external business partner requests.
• Use Managed Account Annual Review (MAAR) reporting to ensure 402113s are submitted in a timely fashion.
• Submit 402113s on a monthly basis
• Review semi-annual reporting of late MAARs to determine which were turned into APWG by a field advisor after the MAAR was overdue.
• Assist with preparation for Practice Assessments, including compiling reports as needed, gathering documents for each RP review, listening to client calls, completing relevant sections on the Practice Assessment document, and collecting follow-up as directed by each RP, as needed.
• Keep Complaint Tracker and other various reports up to date (OSJ Tracking)
• Partner with each RP to ensure periodic compliance training is conducted and documented.
• Work with each RP to ensure discipline is appropriately documented in the corresponding evaluation and required follow-up is tracked in that evaluation.
• Collect and log advertising monthly.
• Help RPs prepare and document on-site security inspections/site reviews.
• Help RPs prepare and document annual LinkedIn reviews.
• Help RPs prepare and document annual Internet reviews.
• Attend regional compliance meetings as directed.

Required Qualifications

• Strong written and verbal communication skills.
• Experience working in a client service environment.
• Comfortable and able to "lead up" to Branch Managers/ RPs when needed.
• Able to manage multiple priorities and prioritizes effectively. Able to independently work with minimal supervision
• Detail orientated and analytical skills. Good organization and time management skills.
• Able to communicate with all levels within the organization. Process oriented and can work with a team.
• Strong computer and software skills specifically Excel, OneNote, Adobe, and Word.

Preferred Qualifications

• Intermediate level of MS Excel and Power BI
• Knowledge of US financial system, regulatory environment, financial products/services.

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

Business Support & Operations

Equal Opportunity Employer

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.