Compliance Manager/Officer

Ameriprise Financial Services; United States; On-site; USD 110,000 - 165,000; Full time

Job summary

Ameriprise Financial is seeking a Compliance Manager/Officer within the General Counsel's Organization to support the Field Office Inspections program, including OSJ exams across Ameriprise Personal Wealth Group and related units.

You will analyze data, conduct interviews, and report findings in a collaborative environment focused on risk management and regulatory compliance.

Qualifications

• Bachelor’s degree or equivalent required.
• 5+ years of relevant work experience.
• Knowledge of FINRA, SEC, and other regulatory rules.
• Strong analytical ability to assess data for risk.
• Investigative skills with objective judgment.
• Ability to interview leaders at all levels.
• Ability to propose practical solutions to technical issues.
• Excellent organization and multi-tasking; meet deadlines.
• Strong leadership and cross-group collaboration.
• Excellent written and verbal communication.
• Series 7 preferred; or 5+ years in lieu; Series 7 must be obtained later.
• Series 9/10 or 24 required, or ability to obtain.
• Travel: approximately 20%.

Responsibilities

• Conduct independent research and analyze information and reports prior to and during an exam to identify potential risk and violations.
• Interview Registered Principals, advisors, and staff.
• Review effectiveness of field supervision and identify potential advisor sales practice violations.
• Educate field members on subject matter and action steps to improve compliance.
• Escalate issues related to supervisory practices and advisor practices.
• Draft and deliver Commitment to Action plans for identified findings.
• Communicate results to field leadership and serve as a contact for inspections.
• Maintain knowledge of industry practices and risks.
• Collaborate with leadership and other teams to identify risks and clarify policies.
• Work with examiners to ensure consistency of process.
• Identify process improvements and implement solutions.
• Engage in day-to-day operations of the Field Office Inspection team.

Skills

Analytical skills

Investigative skills

Interview leadership

Communication skills

Leadership

Time management

Independent worker

Education

Bachelor's degree or equivalent

Job description

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!

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, 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