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Compliance Manager

Ameriprise Financial
$0 - 0/ year
Posted Feb 11
Full Time
RemoteBoston, Massachusetts

We are searching to fill an individual contributor Compliance Manager role within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support Global Asset Management Compliance program for Columbia Threadneedle Investments through performance of ongoing compliance monitoring, oversight, and advisory activities. You will work in a collaborative culture where you will interact with a diverse set of business partners. Come and demonstrate your flexible, creative, and detailed oriented skills. Columbia Threadneedle is an organization that is committed to diversity and inclusion that supports work-life balance, structured mentoring, and career progression! Are you ready to get started and continue growing your career? Come apply today!

Key Responsibilities

  • Prepare reconciled reports of affiliated / exemptive transactions for Funds' Chief Compliance Officer and Funds' Boards of Directors
  • Assist and follow up with internal and external business partners to resolve transaction errors.
  • Research new laws and regulations, analyze their effect on business practices, and work with Legal Department and business partners, as needed, to understand implications.
  • Maintain current knowledge of industry practices and developments. Raise issues and maintain records, as required or appropriate.
  • Serve as an expert resource on assigned subjects supporting various governance committees.
  • Support the broader compliance program for multiple Chief Compliance Officers.

Required Qualifications

  • Bachelors degree or equivalent (4-years)
  • 5-7 years of relevant experience
  • Solid understanding of security types and investment operations
  • Knowledge of SEC, CFTC, State, and other regulatory requirements for investment advisers, registered investment companies and broker/dealers.
  • Facilitation skills and ability to work with sense of urgency.
  • Ability to prepare and/or present material for senior leaders, with leader support.
  • Expert-level skills in Microsoft Word, Excel, PowerPoint.
  • Demonstrated professional oral and written communication skills – must have strong attention to detail, accuracy and quality assurance
  • Ability to establish collaborative working relationships and work with a sense of urgency including ability to work under pressure and deliver against multiple, competing priorities.
  • Strong analytical and critical thinking skills including ability to effectively identify and resolve problems by gathering information, reaching conclusions and escalating matters / taking action.


Preferred Qualifications

  • Prior experience with middle/back-office operations of investment companies and investment advisers.
  • Prior experience with investment and order management systems (e.g., InvestOne, J.P. Morgan Access, Aladdin).

About Our Company
We’re a diversified financial services leader with more than $1 trillion in assets under management and administration. Our team of 20,000 people in more than 20 countries advise, manage and protect the assets and income of more than 2 million individual, small business and institutional clients. We are a long-standing leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial Services, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Legal Affairs

Line of Business

GCO General Counsel's Organization