Job description
We have an exciting role as a Compliance Manager/Officer at Ameriprise. This role will oversee and influence key business partners and support AWM organization, focused on the provision of investment advisory services and performance reporting to ensure that adequate compliance policies and procedures are developed and implemented to meet regulatory requirements. provide primary compliance support for areas in Financial Planning, and Managed Accounts Responsibilities include the development, implementation and oversight of 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 multiple AWM blueprint initiatives. Come apply today!
Responsibilities
Required Qualifications
Preferred Qualifications
About Our Company
At Ameriprise Financial, we’re not just in the business of helping clients with their financial goals – we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you’re motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
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.
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 and review and response to regulatory exams and inquiries.
- Investigate high complexity issues, assess business practices against emerging regulatory changes and guidance.
Required Qualifications
- Bachelors Degree
- Series 7
- Series 24 or ability to obtain within 120 days
- 5+ years of relevant work experience
- Ability to effectively manage multiple and competing priorities
- Ability to analyze process and procedural gaps, recommend and implement improvements
- Ability to influence senior leadership
- Effective communication practices
- Demonstrated ability to lead, coach and influence people
Preferred Qualifications
- Advanced designations such as CFP
About Our Company
At Ameriprise Financial, we’re not just in the business of helping clients with their financial goals – we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you’re motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
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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