Compliance Manager - Broker-Dealer & Sales Oversight

00001 Ameriprise Financial Inc; Boston (MA); Hybride; USD 79 000 - 138 000; Plein temps

Résumé du poste

Ameriprise Financial is seeking a Compliance Manager to support day-to-day compliance for Columbia Threadneedle, focusing on Intermediary and Institutional Sales and Distribution. You will serve as a subject matter expert on Broker-Dealer rules and FINRA regulations, guiding marketing reviews and policy management.

You will build strong relationships within AMC Compliance, Licensing, and Legal teams, stay current on regulatory changes, and help assess risk across products and channels.

Qualifications

• Bachelor's degree or equivalent (4-years) is required.
• 5–7 years of relevant work experience.
• Strong knowledge of financial services industry and compliance functions.
• Ability to build and develop working knowledge of applicable Industry regulations.
• Experience in providing compliance support to sales and distribution areas.
• Exceptional verbal and written communication skills.
• Ability to independently and effectively manage time and prioritize work.
• Ability to collaborate, communicate, and influence across different levels of an organization.
• Ability to maintain productive working relationships with business colleagues.
• Proven ability to think fast, respond quickly and learn quickly in a fast‑paced environment.
• Negotiation, decision making and problem‑solving skills.

Responsabilités

• Act as a subject matter expert in Broker‑Dealer related sales and distribution rules and FINRA related regulations.
• Provide general compliance support to the Intermediary and Institutional Distribution team.
• Establish and maintain relationships and foster a culture of compliance with business partners and within AMC Compliance.
• Help with compliance risk assessments and communicate risks and improvement suggestions to leaders.
• Stay up to date on regulatory changes and develop impact assessments and summaries.
• Manage Intermediary Sales and Distribution related policies and procedures.
• Review and guide marketing communications to ensure regulatory compliance.
• Coordinate FINRA filing needs and resolve comments with content owners.
• Escalate to Legal or SME as needed to support consistency and risk management.

Connaissances

Verbal communication

Written communication

Time management

Collaborative

Analytical thinking

Formation

Bachelor's degree or equivalent (4-years)

Outils

Microsoft Word

Excel

PowerPoint

Description du poste

Ameriprise Financial is seeking a Compliance Manager to support day-to-day compliance for Columbia Threadneedle, focusing on Intermediary and Institutional Sales and Distribution. You will serve as a subject matter expert on Broker-Dealer rules and FINRA regulations, guiding marketing reviews and policy management.

You will build strong relationships within AMC Compliance, Licensing, and Legal teams, stay current on regulatory changes, and help assess risk across products and channels.