We have an exciting opportunity as a Senior Compliance Analyst at Ameriprise! In this role you will assist in ensuring communications satisfy regulatory and corporate requirements; support marketing efforts; foster and promote a culture of compliance; and provide guidance to marketing relating to advertising rules and regulations. Come apply today!
Key Responsibilities
- Review of marketing and advertising materials consistently to ensure compliance with applicable regulatory requirements (e.g., FINRA, SEC, etc.), industry standards and internal company policy during communications review.
- Establish and maintain relationships with business partners and foster/promote a culture of compliance and provide guidance to marketing relating to applicable rules and regulations on BAU materials, new initiatives, products and campaigns.
- Develop a keen sense for assisting in continuously assessing and communicating compliance risks, suggestions for improvements and create consensus among department leaders and business unit leaders, as applicable.
- Build knowledge of and stay up to date on regulatory and industry changes and assist in the development of impact assessment and summary communication for his/her business partners.
- Consult with appropriate Legal or Compliance SME when there are questions about the interpretation of regulations or internal policies. Identify materials needing substantive legal or compliance review and circulate to the proper reviewer.
- Review to ensure product and strategies material is fair, balanced and complete in support of business growth initiatives.
Required Qualifications
- Bachelor's degree or equivalent (4-years)
- 3 years of compliance experience (with at least 1 year of advertising review experience).
- Knowledge and experience of compliance/advertising review for broker dealer and/or registered investment adviser marketing materials
- Ability to build and develop working knowledge of applicable Industry regulations.
- Exceptional verbal and written communication skills.
- Ability to independently and effectively manage time and prioritize work to meet multiple tight deadlines while paying strong attention to detail.
- Ability to collaborate, communicate, and influence across different levels of an organization.
- Ability to maintain productive working relationships with business colleagues.
- Proven ability to think fast, respond quickly and learn quickly in a fast-paced environment.
- Negotiation, decision making and problem-solving skills.
- Enjoy working autonomously as well as with groups.
Preferred Qualifications
- FINRA Series 7 and 24 preferred or willingness to obtain in an agreed upon timeframe
- Knowledge of different investment and advisory products and services as well as retirement products, tax-efficient products, college saving plans, etc.
- Ability to quickly learn new software and create effective communications in Word, Excel, and PowerPoint
About Our Company
We’re a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 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.
Base Pay Salary
The estimated base salary for this role is $62,900-108,600/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.
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 by law.
Full-Time/Part-Time
Full time
Exempt/Non-Exempt
Exempt
Job Family Group
Legal Affairs
Line of Business
GCO General Counsel's Organization
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