Licensing & Registration Analyst - Noida @ Ameriprise

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

• To perform the On-boarding for Non-Registered and Registered field staff members through Workday on the companys internal systems as well as on regulatory websites.
• Managing fingerprints check, Licenses transfers at FINRA and performing background checks.
• Performing the transitions of Non-Registered and Registered field employees (from one advisor to another) through Workday as well as at FINRA.
• To perform the Business Address Change/Branch registration requests for the field members in order to keep the registration (Form U4) updated.
• Sending Continue Education emails to the field members in order to fulfill the FINRA requirements of completing the training.
• Manage call of Advisors/Field members as per the process requirement.

Required Qualifications

• 1-3 years of relevant experience
• Bachelors Degree or Equivalent
• Excellent Communication skills (written and verbal).
• Effective at multi-tasking and meeting deadlines.
• Ability to effectively and simultaneously manage multiple priorities.
• Good excel knowledge.