Vaishali Ghaziabad Uttar Pradesh Compliance Jobs – 217 Open Jobs Today

Team Lead Compliance
Ameriprise India —Noida, Uttar Pradesh
- Full-time
- Microsoft Powerpoint
- Microsoft Excel
- Microsoft Office
- Work from home
Safety & Compliance Executive (US Logistics)
TransJet Cargo Private limited —Noida, Uttar Pradesh
- ₹35,000 - ₹45,000 a month
- Overnight shift
- Analysis skills
- Typing
- In-person
- Health insurance
- Paid time off
Quick apply
13d
Income Auditor
Radisson Hotel Group —Delhi, Delhi
- ₹50,000 - ₹60,000 a month
- Full-time
- Hospitality
- Microsoft Excel
- Microsoft Office
Quick apply
11d
Specialist - S&P - Contract Management 4A
Genpact India Pvt. Ltd. —Noida, Uttar Pradesh
- Full-time
- Hybrid work
- English
- Master's degree
- Bachelor's degree
Quick apply
Assistant Counsel IND
Ameriprise India —Noida, Uttar Pradesh
- Full-time
- Microsoft Outlook
- Windows
- Databases
Consultant - Forensics - National - ASU - Forensics - Investigations & Compliance - Noida
EY —Noida, Uttar Pradesh
- Microsoft Powerpoint
- Microsoft Excel
- Agile
12d
Manager - TAX - National - TAX - GCR - Global Compliance & Reporting - New Delhi
EY —Delhi, Delhi
- Oracle
- Master's degree
- Bachelor's degree
12d
Trainer- ISO 27001 - Lead Auditor
Cyber Defentech —Rohini, Delhi, Delhi
- ₹15,000 - ₹25,000 a month
- Part-time
- Analysis skills
- In-person
- Communication skills
- Flexible schedule
Quick apply
Internal Auditor
Civitech Developers Pvt. Ltd. —Noida, Uttar Pradesh
- ₹8,00,000 - ₹12,00,000 a year
- Full-time
- Microsoft Excel
- Finance
- Master's degree
Quick apply
Project Senior Analyst-Forensics-National-ASU-Forensics-Investigations & Compliance-Noida
EY —Noida, Uttar Pradesh
- Master's degree
- Agile
- Business Administration
Assistant Manager - Legal & Compliance Fast-food chain in northern india
Skyleaf Consultants —Delhi, Delhi
- ₹8,00,000 - ₹12,00,000 a year
- Full-time
Specialist - HR Compliance 4B
Genpact India Pvt. Ltd. —Noida, Uttar Pradesh
- Full-time
- English
- Microsoft Office
- Master's degree
Quick apply
Internal Auditor
Jaytee Alloys & Components Limited —Ghaziabad, Uttar Pradesh
- ₹20,000 - ₹25,000 a month
- Microsoft Excel
- Finance
- Analysis skills
Quick apply
Manager-Internal Audit
JAKSON GROUP —Noida, Uttar Pradesh
- Full-time
- Oracle
- Microsoft Office
- Finance
Content Compliance Specialist
TO THE NEW —Noida, Uttar Pradesh
- ₹18,000 - ₹24,000 a month
- English
- Typing
- In-person
- Commuter assistance
- Food provided
Quick apply
12d
Manager - Forensics - National - ASU - Forensics - Investigations & Compliance - Noida
EY —Noida, Uttar Pradesh
- Master's degree
- Agile
- Business Administration
Urgently hiring - Audit Executive - New Delhi
S H B A & CO LLP —New Delhi District, Delhi
- ₹15,000 - ₹40,000 a month
- Urgently hiring
- Analysis skills
- Accounting
- In-person
Quick apply
Manager - TAX - AMI - TAX - GCR - Global Compliance & Reporting - New Delhi
EY —Delhi, Delhi
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
2d
Compliance Analyst, Expert Network
AlphaSense —Delhi, Delhi
- English
- Administrative experience
- Computer networking
Company Secretary & Compliance Officer
Bondspe —Mayur Vihar Ph-I, Delhi, Delhi
- ₹3,00,000 - ₹5,00,000 a year
- Full-time
- Microsoft Office
- Finance
- Master's degree
Quick apply

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Team Lead Compliance

Ameriprise India -
Noida, Uttar Pradesh

Apply Now

Job details

Full-time

Benefits

Work from home

Qualifications

Microsoft Powerpoint
Business Management
Microsoft Excel
Securities & Exchange Commission
Bloomberg
Microsoft Office
Finance
Master's degree
Bachelor's degree
Private equity
Financial services
Leadership
Accounting
Communication skills

Full 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.

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 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 escalate 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.)

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

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

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.

Apply Now

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Surveillance & Investigations

Regulatory Compliance & Risk Oversight

Global Stakeholder Management

Operations & Delivery Ownership

Team Leadership and Process Improvement

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.)

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

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