Company: Ameriprise Financial, Inc.
Posted on: August 7, 2022
Provide compliance oversight and guidance to key business
partners, helping ensure business practices align with regulatory
requirements. Ensure that adequate compliance policies and
procedures are developed, implemented and tested. Assist, oversee,
and influence business partners and senior business leaders on
assigned subjects for multiple lines of business and/or larger
- Assist, oversee, and influence business partners and senior
business leaders to ensure that adequate compliance policies and
procedures are developed and implemented.
- Research applicable laws and regulations, analyze their effect
on business practices, and work with Legal Department partners, as
needed, to clarify requirements and address related issues.
Identify and take action.
- Maintain current knowledge of industry trends, practices and
developments. Escalate issues and maintain records, as required or
appropriate. Take action within authority or review with leader
prior to taking action.
- Serve as an expert resource on assigned subjects for multiple
lines of business and/or larger scope, provide compliance support
to assigned business lines, act as a key resource and "go to"
person for business partners, and influence appropriate business
partners and leaders with respect to key business initiatives and
compliance requirements. Identify trends and influence change.
- Assist with regulatory exams and inquiries, establish/lead the
response team for issues involving areas of responsibility, and
present results to leadership.
- Coordinate and support reviews and testing of internal and
external business practices, analyze data, and work with partners
in covered business lines to identify potential problems. Close
recognized gaps and ensure effective day-to-day compliance
oversight. Propose solutions to business problems.
- Investigate high-complexity issues, gather/research and track
related information, serve as a "go to" person for team members
related to the investigation, and make decisions/problem resolution
and/or recommendations, as appropriate, and guide business leaders
regarding potential changes. Required Qualifications
- Bachelors degree or equivalent (4-years)
- 5-7 years of relevant experience
- Series 7 and Series 24
- Proven success in audit and/or compliance functions.
- Strong knowledge of financial services industry.
- Knowledge of FINRA, SEC, State, and other regulatory
- Strong communication (written and verbal) and facilitation
skills including ability to influence key business partners
regarding regulatory topics.
- Ability to prepare and/or present material for senior leaders,
with leader support.
- Ability to prioritize and manage competing priorities.
- Self-starter able to work independently. Preferred
- Familiarity with core back-office operations areas including
Margins, Settlements, Divs/Reorg, Money Movement, etc.
- Familiarity with BETA Host/ThomsonOne
- Data analytic skills useful but not required About Our Company
At Ameriprise Financial, we're not just in the business of helping
clients with their financial goals - we also help our advisors and
employees reach their true potential by embracing an inclusive and
collaborative culture. We celebrate the unique qualities and reward
the contributions of our talented, passionate employees. If you're
motivated and want to work for a strong, ethical company that cares
about you and your community, take the next step with Ameriprise
Financial. Ameriprise Financial is an equal opportunity employer.
We consider all qualified applicants without regard to race, color,
religion, sex, national origin, genetic information, age, sexual
orientation, citizenship, gender identity, disability, veteran
status, marital status, family status or any other basis prohibited
Keywords: Ameriprise Financial, Inc., Minneapolis , Compliance Manager/Officer, Executive , Minneapolis, Minnesota
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