Compliance Manager – Field Office Inspections

Ameriprise Financia; Minneapolis (MN); Hybrid; USD 87,000 - 120,000; Full time

Job summary

Ameriprise Financial is seeking a Compliance Manager/Officer to support the Field Office Inspections team within the General Counsel's Organization. You will conduct branch office and OSJ inspections, interview principals and staff, and report on supervision effectiveness while guiding corrective actions.

The role requires strong regulatory knowledge (FINRA/SEC), 5+ years of relevant experience, and excellent communication. Hybrid in-office work is expected with travel as needed.

Qualifications

• Bachelor's degree required; 5+ years of relevant experience preferred.
• Strong knowledge of FINRA/SEC rules and industry risks.
• Proven investigative interview and report-writing abilities.

Responsibilities

• Conduct branch office and OSJ inspections and interviews.
• Assess effectiveness of field compliance supervision and identify risks.
• Educate field members on policy, procedures, and best practices.
• Escalate issues to leadership and draft action plans for findings.
• Collaborate with cross-functional teams to improve processes and consistency.

Skills

Analytical skills

Interviewing leadership

Communication

Organizational skills

Leadership

Education

Bachelor's Degree or equivalent

Job description

Ameriprise Financial is seeking a Compliance Manager/Officer to support the Field Office Inspections team within the General Counsel's Organization. You will conduct branch office and OSJ inspections, interview principals and staff, and report on supervision effectiveness while guiding corrective actions.

The role requires strong regulatory knowledge (FINRA/SEC), 5+ years of relevant experience, and excellent communication. Hybrid in-office work is expected with travel as needed.