Compliance Manager

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 Ameriprise in reviewing broker-dealer and investment advisory communications. 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! Are you ready to get started and continue growing your career? Come apply today!

Key Responsibilities

• Review of broker-dealer, registered investment adviser, insurance and other created communications and marketing materials for compliance with applicable FINRA and SEC regulatory requirements, state, other applicable advertising regulations and guidance and internal company compliance policies and procedures.

• Identify and escalate communications as needed to other subject matter experts and/or review groups.

• Build and maintain relationships with key business & GCO partners and promote a culture of compliance.

• Stay up to date on applicable laws and regulations, analyze their effect on business practices and provide guidance to business partners.

• Work collaboratively with multiple business partners to gain a thorough understanding of our products and business.

• Proactively attend meetings and hold ad hoc discussions with business partners and other areas to understand new initiatives, offer compliance guidance, and determine the potential impact to communications and marketing materials.

• Oversee and influence business partners to ensure compliance policies and procedures are implemented.

• Contribute to the development/improvement, maintenance and implementation of business unit procedures and employee training materials, designed to help ensure that materials produced are compliant.

• Work on special projects and perform other duties as assigned.

Required Qualifications

• Bachelor's degree or equivalent (4-years).

• 5-7 years of relevant work experience.

• Proven success in audit and/or compliance functions.

• Strong knowledge of financial services industry.

• Knowledge of FINRA, SEC, State, and other regulatory requirements.

• Strong written and verbal communication skills.

• Minimum of 2 years of hands-on communication review experience.

• Facilitation skills.

• Ability to prepare and/or present material for senior leaders, with leader support.

• Proven ability to think fast, respond quickly and learn quickly in a fast-paced environment.

• Enjoy working autonomously as well as with groups.

• Excellent Project Management skills.

• Excellent analytical and research skills.

• Strong interpersonal skills with a client focus.

Preferred Qualifications

• FINRA Series 7 and 24 registrations preferred or obtain in an agreed upon timeline.

• Ability to quickly learn new software and ability to create effective communications in Word, Excel, and PowerPoint

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 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of 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.

The estimated base salary for this role is $78,700 - $138,200/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.Full timeExemptLegal AffairsGCO General Counsel's Organization