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Compliance Manager/Officer at Ameriprise in Minneapolis. Join us to lead branch inspection and compliance oversight.
Your expertise in FINRA/SEC regulations will help safeguard our clients and strengthen field oversight.
About Our Company
We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million individual, small business and institutional clients. We are a longstanding 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, 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.
Job Description
We are searching for a Compliance Manager/Officer within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support the Field Office Inspections department through conducting required Branch Office and Office of Supervisory Jurisdiction inspections, including Ameriprise Personal Wealth Group, Centralized Supervision Unit and other applicable locations as determined by the Firm. 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. Ameriprise 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
- Complete independent research and analyze various information and reports prior to, and during an exam, to identify potentially problematic behavior, violations, red flags, trends and potential areas of risk.
- Conduct initial interviews and exit interviews with Registered Principals, advisors, and staff.
- Review and report on the effectiveness of field compliance supervision, including identification of potential advisor sales practice violations.
- Provide education to field members relating to subject matter which include, but are not limited to, recommending action steps to improve compliance supervisory tasks based on company and regulatory policy and procedure, hot regulatory topics, firm trends, best practices, etc.
- Escalate issues as appropriate related to Registered Principal supervisory practices and/or advisor practices.
- Write, deliver, and follow up with RPs on Commitment to Action plans for the resolution of identified findings.
- Communicate and discuss results to all levels of field leadership and serve as a point of contact for inspections.
- Maintain current knowledge of industry and firm practices, developments, and risks.
- Partner with leadership and reach out to other teams (within and outside of compliance) to identify/understand risks, share results, elevate issues, and clarify policies and procedures.
- Work with other examiners when appropriate to ensure consistency of process.
- Identify process and procedure improvement opportunities and work collaboratively with colleagues/leadership to implement effective solutions.
- Engage in day-to-day operations of the Field Office Inspection team and/or department wide projects/initiatives.
Required Qualifications
Bachelor's Degree or equivalent.
5+ years of relevant work experience.
Knowledge of FINRA, SEC and other regulatory rules/requirements.
Knowledge of risks pertinent to industry and firm, and ability to strategically focus branch office/OSJ exams depending on relevant risks.
Excellent analytical skills, including the ability to evaluate a broad scope of data to define potential risks.
Demonstrated investigative skills, including the ability to follow an instinct while retaining an overall objective viewpoint.
Demonstrated ability to interview various levels of leadership.
Demonstrated ability to formulate practical solutions to technical issues.
Excellent organization skills, ability to manage multiple priorities, ability to meet time sensitive deadlines.
Demonstrated leadership competency, including the ability to build relationships and collaborate with other groups in the corporate office as well as the field.
Excellent communication skills, both written and verbal. Proven ability to communicate with employees at all levels of the firm. Ability to tactfully craft difficult messages.
Demonstrated ability to take initiative and operate independently, while able to work effectively in a team environment.
Series 7 preferred for consideration. However, 5+ years of industry experience in lieu of the Series 7 will be taken into consideration if candidate does not have Series 7 at the time of application, which will be required within the allocated time after hiring.
Series 9/10 or 24 required, or ability to obtain within corporate timeframes.
Travel: Approximately 20%.
Preferred Qualifications
Experience in an audit function, familiarity with audit methodologies.
Leadership experience.
In-Office Collaboration
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
Visa Sponsorship
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
Base Pay Salary
The estimated base salary for this role is $87,400-$120,200/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.
Full-Time/Part-Time
Full time
Exempt/Non-Exempt
Exempt
Job Family Group
Legal Affairs
Line of Business
GCO General Counsel's Organization
Legal Notice
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law. We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.