Hybrid Compliance Manager Financial Services Risk

RiverSource Life Insurance Company; Minnesota; Hybrid; USD 87.000 - 120.000; Vollzeit

Benefits dieser Stelle

Hybrid work model

In-office collaboration

Four days in-office per week with one-

Competitive benefits package

Zusammenfassung

RiverSource Life Insurance Company seeks a Compliance Manager/Officer to oversee branch office inspections and OSJ oversight. The role partners with Field Office Inspections and GCO to ensure regulatory compliance, risk identification, and actionable remediation plans across multiple locations in the US.

The position requires at least 5+ years in compliance, FINRA/SEC knowledge, and strong investigative and communication skills. Hybrid in Minneapolis and Charlotte, with travel expected.

Qualifikationen

• Strong analytical skills to evaluate data and risks.
• Investigative mindset with ability to interview leadership at all levels.
• Ability to develop practical solutions to technical issues.
• Excellent written and verbal communication for diverse audiences.
• Self-driven but capable of working in a team environment.

Aufgaben

• Complete independent research and analyze information prior to and during exams to identify risk areas.
• Conduct initial and exit interviews with Registered Principals, advisors, and staff.
• Review effectiveness of field supervision and identify potential violations.
• Educate field members on compliance topics and action steps.
• Escalate issues related to supervisory practices and discuss results with leadership.
• Develop action plans for resolution of findings and track progress.
• Collaborate with other teams to understand risks and improve policies.
• Participate in day-to-day operations of the Field Office Inspection team.

Ausbildung

Bachelor's Degree or equivalent

Series 7

Series 9/10 or 24

Jobbeschreibung

RiverSource Life Insurance Company seeks a Compliance Manager/Officer to oversee branch office inspections and OSJ oversight. The role partners with Field Office Inspections and GCO to ensure regulatory compliance, risk identification, and actionable remediation plans across multiple locations in the US.

The position requires at least 5+ years in compliance, FINRA/SEC knowledge, and strong investigative and communication skills. Hybrid in Minneapolis and Charlotte, with travel expected.