Lead - Distribution Business Governance

This is a critical support role within the EMEA Distribution team, based in India. The successful candidate will report to the Distribution Governance & Change Manager (London) and be responsible for executing day-to-day governance activities, embedding and maintaining operational controls, and providing essential support for governance frameworks across the distribution business. The role will focus on implementation, monitoring, and administration of governance processes under the direction and oversight of the Distribution Governance & Change Manager.

Key Responsibilities

Operational Soundness & Controls

·       Execute and maintain evidence of control effectiveness across distribution operations.

·       Coordinate quarterly attestations and CMDB registrations for Business-T assets.

·       Ensure all governance-related documentation is stored, version-controlled, and accessible according to established frameworks.

·       Support the implementation of governance frameworks across Distribution, including policy updates and procedural alignment.

·       Liaise with Technology and Risk teams to ensure operational risks are identified and mitigated.

Policy & Procedure Management

·       Assist in maintaining key distribution policies and procedures (e.g., Distribution Oversight, Social Media, Permitted Countries, Sales Manual), ensuring timely reviews and updates in collaboration with business owners

·       Ensure all policies and procedures are uploaded to CompliSource and follow the correct workflow.

MAPs & Regulatory Governance

·       Track MAPs (Management Action Plans) related to Consumer Duty, AML Remediation, and QDSE.

·       Ensure oversight of REVs and maintain governance documentation as required

·       Coordinate training and reporting cycles for related governance actions.

Conflicts of Interest (COI)

·       Maintain and update the Distribution COI log, ensuring timely and accurate entries.

·       Coordinate the annual COI attestation process across EMEA entities.

·       Manage disclosures for specific jurisdictions, including follow-ups and documentation.

·       Liaise with Compliance and Legal to ensure COI frameworks are embedded and understood.

·       Prepare COI-related inputs into committee reports and governance forums.

Consumer Duty & TCF Alignment

·       Support alignment activities between Consumer Duty and Treating Customers Fairly (TCF) reporting frameworks.

·       Maintain and update procedures and checklists for Consumer Duty compliance.

·       Support the capture and reporting of KPIs, entity classifications, and population data as required.

Complaints Monitoring & Remediation

·       Run monthly reports on complaints via Salesforce, ensuring all cases are tracked and closed appropriately. Maintain documentation and evidence for complaint investigations and remediation actions.

·       Update and manage the B2B Complaints Procedure and Central Complaints Policy.

Committee & Forum Support

·       Prepare inputs for CDSC, FRMC, and other relevant governance forums.

·       Maintain terms of reference and reporting packs for oversight committees.

·       Provide administrative support for governance meetings and follow up actions

·       Support governance training initiatives and stakeholder briefings.

Ideal Candidate Profile

Experience: 5-7 years in asset management, with a solid foundation in compliance, governance, and operational risk.

Skills & Attributes:

·       Highly process-oriented, with a structured approach to documentation and controls.

·       Able to manage competing priorities and deliver under pressure.

·       Ability to identify and build solutions (across the governance landscape of a Distribution business) engaging with a wide range of stakeholders

·       Strong stakeholder engagement skills, with the ability to work across levels and geographies.

·       Independent and accountable, with a strong sense of integrity and focus on doing the right thing.

·       Practical and outcome-driven, ensuring governance frameworks support effective business delivery.

Collaborative mindset, with a clear focus on supporting strategic governance and change initiatives

About Our Company
Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 125 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(11:30a-8:00p)AWMPO AWMP&S President's OfficeBusiness Support & Operations