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Compliance Manager
at Ameriprise Financial
Minneapolis, MN

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Job Description
This role will assist, oversee and influence business partners across multiple lines of business related to Advice solutions including Financial Planning and Managed Account offerings to ensure that adequate compliance policies and procedures and investment advisory policies and procedures are developed and implemented and that products and solutions are distributed in a manner consistent with applicable regulations and best practices. The role will provide primary compliance support to various projects and initiatives, as well as act as a subject matter expert in various capacities including the development and approval of sales and marketing materials, and oversight of supervisory functions.
Investigate high-complexity issues, gather/research and track related information, serve as a "go to" person for team members related to the investigation, and make decisions and/or recommendations, as appropriate.

Assist, oversee 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.

Provide coaching and mentoring to business partners and colleagues as needed.

Maintain current knowledge of industry practices and developments . Escalate issues and maintain records as required or appropriate.

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.

Review internal and external business practices, analyze data, and work with partners in covered business lines to identify potential problems, assist the business in developing and executing a plan to address findings, whether identified through self-monitoring or through a testing program, and support effective day-to-day compliance oversight.
Required Qualifications
Bachelor's Degree or equivalent.
5-7 years of relevant work experience.
Proven success in supervision, audit and/or compliance functions.
Strong knowledge of financial services industry.
Knowledge of FINRA, SEC, State and other regulatory requirements.
Strong written and verbal communication skills.
Facilitation skills.
Ability to prepare and/or present material for senior leaders, with leader support.
Series 7 and Series 24 licenses
About Our Company
With the right company, life can be brilliant. At Ameriprise, we're not just in the business of managing our clients' finances - we also help our advisors and employees reach their true potential, too. 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 to create a brilliant career at Ameriprise Financial.
We are an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other protected characteristic. The EEO is the Law poster is available here.
VEVRAA Federal Contractor
We request Priority Protected Veteran & Disabled Referrals for all of our locations within the state.

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