Field Compliance Manager - OSJ & Branch Inspections

Ameriprise Financial Services, LLC

Minneapolis (MN)

Hybrid

USD 87,000 - 120,000

Full time

5 hours ago

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Job summary

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

The role emphasizes collaboration with multiple teams, leadership communication, and ongoing regulatory knowledge.

Qualifications

Bachelor's degree or equivalent.
5+ years of relevant work experience.
Series 7 preferred or will be required within timeframes; Series 9/10 or 24 required, or ability to obtain.
Willingness to travel ~20%.
Knowledge of FINRA, SEC and other regulatory rules.

Responsibilities

Conduct branch office and OSJ inspections; analyze information to identify risks.
Interview Registered Principals, advisors and staff.
Review effectiveness of field compliance supervision and identify violations.
Educate field members on compliance tasks and action steps.
Escalate issues related to supervisory practices.
Draft and follow up on Commitment to Action plans.
Communicate results to field leadership; be a primary inspections contact.
Maintain knowledge of industry practices, risks and firm policies.
Collaborate with leadership and other teams to identify risks and implement improvements.
Coordinate with other examiners to ensure process consistency.
Engage in day-to-day field office inspection operations and department projects.
Travel approximately 20%.