Uday Mehta
Compliance Analyst @Ameriprise Financial Services, LLC
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WORK HISTORY
Compliance Analyst @Ameriprise Financial Services, LLC
Noida, IN
Field Office Inspections (FOI):• Managing end-to-end scheduling and announcements for Branch and OSJ inspections, ensuring seamless coordination between examiners and advisors.• Extracting, synthesizing and reporting post-inspection insights using multiple data sources to support business operations.• Executing virtual compliance audits for non-branch sites, ensuring procedural accuracy and regulatory alignment.• Collaborating with leadership and examiners to clarify policies, escalating issues, and promoting consistency across processes.
EDUCATION
Rajdhani College
Bachelor of Commerce - BCom(H)
N.C. Jindal Public School
Business/Commerce, General
ABOUT UDAY MEHTA
Uday is a Compliance Analyst working in the department of Field Office Inspections at…
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