Field Compliance Lead – Financial Services

00015 Ameriprise Financial Services, LLC.; Minneapolis (MN); On-site; 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 and OSJ inspections, interview principals and staff, and report on supervisory effectiveness while educating field members on regulatory priorities and firm policies.

The role emphasizes collaboration across teams, meticulous analysis, and independent initiative.

Qualifications

• Bachelor's Degree or equivalent.
• 5+ years of relevant work experience.
• Knowledge of FINRA, SEC and other regulatory rules/requirements.
• Excellent analytical and investigative skills.
• Series 7 preferred or 5+ years of industry experience in lieu of Series 7; must be obtained within corporate timeframes.
• Series 9/10 or 24 required, or ability to obtain within corporate timeframes.

Responsibilities

• Complete independent research and analyze information and reports prior to and during an exam to identify potential risk areas.
• Conduct initial and exit interviews with Registered Principals, advisors, and staff.
• Review and report on effectiveness of field compliance supervision and identify potential violations.
• Provide education to field members on regulatory topics and recommended actions to improve supervision.
• Escalate issues related to supervisory practices and communicate results to field leadership.
• Develop action plans for identified findings and follow up on resolutions.

Skills

Regulatory compliance

Audit

Interviews

Data analysis

Stakeholder communication

Leadership

Education

Bachelor's Degree

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 and OSJ inspections, interview principals and staff, and report on supervisory effectiveness while educating field members on regulatory priorities and firm policies.

The role emphasizes collaboration across teams, meticulous analysis, and independent initiative.