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Compliance Manager

Ameriprise Financial
Posted Mar 24
Full Time
On Site
Minneapolis, Minnesota


Ameriprise Financial is looking for a Compliance Manager to join our General Counsel’s Organization! This role will oversee and influence key business partners within the Advice and Wealth Management organization, focused on the distribution of Capital Markets products, and the provision of Investment Research. This individual will be responsible for the development and implementation of key compliance policies designed to meet regulatory requirements of both FINRA and the SEC. Responsibilities will also include the development, and implementation of appropriate testing and monitoring designed to oversee the appropriate policies and procedures in a manner consistent with applicable regulations and guidance. The role will also provide primary support to various projects and initiatives undertaken by the areas of coverage including areas of product development, and ongoing risk assessment initiatives. Come apply today!


Key Responsibilities

  • Actively engage and provide outstanding thought leadership on enterprise projects and departmental initiatives providing necessary requirements to ensure processes and offering comply with relevant rules and regulations.

  • Partner with the business in the development, oversight and assessment of necessary control procedures.

  • Assist in the development and review of sales and marketing materials and training related to product and service offerings of the Firm.

  • Serve as an expert resource on assigned subjects for multiple lines of business and/or larger scope, provide compliance support to assigned business lines, and act as a key resource and “go to” person for business partners, including in the assessment of regulatory examinations and inquiries.

  • Assist, coordinate, and influence business partners to ensure that adequate compliance policies and procedures are developed and implemented.

  • Research applicable laws and regulations, analyze their effect on business practices, and work with Legal Department partners, as needed, to clarify requirements and address related issues. Identify problem policies related to the application of laws and regulations. Maintain current knowledge of industry practices and developments. Raise issues and maintain records, as required or appropriate.

  • Review internal and external business practices, analyze data, and work with partners in covered business lines to identify potential problems. Close recognized gaps and support effective day-to-day compliance oversight.

Required Qualifications

  • Bachelors degree or equivalent (4-years)

  • 5-7 years of relevant experience

  • FINRA Series 7 License and the ability to obtain FINRA Series 24 within 120 days

  • Strong knowledge of financial services industry.

  • Knowledge of SEC, FINRA, MSRB, OCC and other regulatory requirements related to broker dealers, investment advisers and research providers.

  • Demonstrated professional oral and written communication practices.

  • Ability to effectively manage multiple and competing priorities.

  • Strong analytical and critical thinking skills, including ability to effectively identify and resolve procedural gaps, and determine appropriate escalation paths and manage timing of implementation.

  • Ability to prepare and/or present material for senior leaders, with leader support.

  • Intermediate + level skills in Microsoft Word, Excel, and PowerPoint.

Preferred Qualifications

  • Experience in developing process flows/diagrams. Working knowledge of Microsoft Power BI

  • Microsoft Access skills.

  • Advanced designations or registrations


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.

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