Open to opportunities

RIMA NEOG

@rimaneog

Message

I manage FINRA registration, licensing, and advisor onboarding with high-volume, accurate regulatory operations.

India

Message

What I'm looking for

I'm looking for a regulatory compliance or operations role where I can manage FINRA licensing and registration, strengthen quality controls, reduce turnaround times, and improve advisor onboarding processes.

At Ameriprise Financial Services, I manage advisor licensing, registration, and ongoing FINRA and state securities compliance activities. I've completed 5,000+ Form U4 and Form U5 filings with 97%+ accuracy while processing up to 200 transactions per month through Web CRD and FINRA Gateway.

I audit FINRA registrations, facilitate advisor license transfers across jurisdictions, and support onboarding through fingerprinting and background-verification reviews. My work combines compliance monitoring, quality assurance, risk mitigation, and process improvement to reduce turnaround time.

Before Ameriprise, I supported the Verizon account at Accenture as a Subject Matter Expert, focusing on quality assurance, operational excellence, KPI management, coaching, training, and escalation management.

My earlier customer-care roles strengthened my ability to handle high-volume requests, payment and order processes, examination scheduling, and clear customer communication.

Experience

Work history, roles, and key accomplishments

Current

Senior Regulatory Compliance Analyst

Current

Ameriprise Financial Services

Oct 2022 - Present (3 years 10 months)

Manage advisor licensing, registration, and ongoing compliance activities in adherence with FINRA and state securities regulations. File and process up to 200 Form U4 and U5 transactions per month through Web CRD and FINRA Gateway, achieving 97%+ accuracy.

FINRA Compliance Form 4 Form 5 Regulatory Compliance Risk Management Quality Assurance Process Improvement Background Verification Compliance Monitoring

Subject Matter Expert (SME)

Accenture Systems Pvt. Ltd.

Apr 2019 - Sep 2022 (3 years 5 months)

Worked as Subject Matter Expert for Verizon account, providing support in quality assurance, operational excellence, KPI management, coaching, and training. Monitored performance metrics including CSAT, DSAT, productivity, and quality.

Quality Assurance Operational Excellence KPI Management Coaching Training Performance Metrics Process Improvement Escalation Management

Sr. Customer Care Chat Executive

V-Care Call Centers India Pvt. Ltd.

Sep 2018 - Mar 2019 (6 months)

Checked customer order status and provided timely updates. Processed order cancellations, managed new order placements, handled payment transactions, and issued payment confirmations.

Customer Service Order Management Payment Processing

Customer Care Representative

HCL Enterprise

Aug 2017 - Aug 2018 (1 year)

Opened and administered 500+ Pearson Test of English (PTE) examination windows. Managed scheduling, cancellations, and rescheduling requests, providing accurate information and support to candidates via chat and email.

Customer Support Scheduling