Ameriprise Financial Services, LLC Logo

Ameriprise Financial Services, LLC

Senior Compliance Analyst

Posted 10 Days Ago
Be an Early Applicant
3 Locations
70K-101K Annually
Mid level
3 Locations
70K-101K Annually
Mid level
The Senior Compliance Analyst leads compliance processes for a global asset management firm, ensuring adherence to regulatory standards and improving compliance programs.
The summary above was generated by AI

We have an exciting opportunity as a Senior Compliance Analyst who will join and be supported by a large global asset management compliance organization which is part of the Ameriprise Financial General Counsel’s Organization (“GCO”). The Senior Compliance Analyst’s responsibilities include leading and supporting execution of a wide-range of team processes tied the effective management of a large SEC-registered investment adviser’s compliance program.

Key Responsibilities:

  • Support reviews of Policies and Procedures to ensure compliance with applicable regulatory requirements (e.g., SEC, etc.), industry standards and internal company policies.
  • Assist in oversight review of Daily ETF Custom Baskets for ETFs and 6C-11 requirements, as well as oversight of Institutional Tasks, ERISA requirements, SMA accounts, and Annual Custody Memo.
  • Establish and maintain relationships with business partners. Assist on compliance matters tied to new investment products and initiatives to ensure they incorporate effective controls and are aligned with compliance requirements.  Research and appropriately escalate compliance-related concerns. Assist business partners in assessing and remediating compliance issues in a timely manner relating to applicable rules and regulations on BAU, Monthly, Quarterly and Annual deliverables, as well as new initiatives, and products.
  • Develop a keen sense for assisting in continuously assessing and communicating compliance risks with respect to oversight, 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.
  • Ensure adherence to relevant regulatory requirements and internal policies by monitoring activities. Identify opportunities to enhance the compliance program and drive solutions to implement. 
  • Work with business partners on enterprise-wide and cross-functional compliance projects and ongoing initiatives and requirements.   
  • Assist with various projects and initiatives across investment compliance team, and continuous process improvements.
  • Support the execution of team processes, including ongoing and annual reviews and periodic reporting to internal governance committees, boards and clients.
  • Stay up to date on regulatory and industry developments relevant to SEC and CFTC-registered investment adviser and collaborate with business partners, and compliance and legal colleagues.
  • Assist with the ongoing maintenance of procedures, policies and related controls.

Required Qualifications:

  • Bachelor’s degree or equivalent.
  • 2-3 years of relevant experience (with at least one year of Compliance experience preferred).
  • Knowledge of financial services industry and regulations, particularly Investment Advisers Act of 1940 and underlying rules.
  • Excellent communication, presentation and organizational skills.
  • Ability to plan and manage multiple competing priorities.
  • Ability to work independently and as a team, exercise flexibility, initiative, good judgment, and discretion.

Preferred Qualifications:

  • Knowledge of investment advisory business and investment products (e.g., private funds; mutual funds and ETFs).
  • Ability to quickly learn new software and create effective communications in Word, Excel, and PowerPoint.
  • Ability to improve processes and create efficiencies to enhance effective oversight and driven results.

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 $69,900 / $100,600 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

Top Skills

Excel
PowerPoint
Word

Similar Jobs

13 Days Ago
Hybrid
Boston, MA, USA
120K-180K Annually
Senior level
120K-180K Annually
Senior level
Consumer Web • eCommerce • Marketing Tech • Retail • Software • Analytics • Generative AI
As a Senior Security Trust & Compliance Analyst, you will enhance security culture, manage audits, and develop security awareness programs while mentoring junior team members.
Top Skills: AWSCcpaCis Critical Security ControlsCsa StarGdprGrc EngineeringIso 27001Iso 27002Iso 27017Iso 27018Iso 27701Iso 42001Nist 800-53Nist Csf 2.0Security AutomationSoc 2Sox
5 Days Ago
4 Locations
74K-98K Annually
Mid level
74K-98K Annually
Mid level
Hardware • Security
The Sr. Trade Compliance Licensing Analyst will manage international business compliance, prepare export applications, and assist stakeholders in navigating export approvals. Responsibilities include reviewing trade requirements, administering agreements, evaluating export requests, and ensuring compliance with ITAR and EAR regulations.
7 Days Ago
5 Locations
84K-139K Annually
Senior level
84K-139K Annually
Senior level
Insurance • Financial Services
The Senior Compliance Analyst provides compliance support and oversight for regulatory matters, conducts assessments, and works with business partners across multiple insurance-related functions.
Top Skills: ExcelPowerPointWord

What you need to know about the Boston Tech Scene

Boston is a powerhouse for technology innovation thanks to world-class research universities like MIT and Harvard and a robust pipeline of venture capital investment. Host to the first telephone call and one of the first general-purpose computers ever put into use, Boston is now a hub for biotechnology, robotics and artificial intelligence — though it’s also home to several B2B software giants. So it’s no surprise that the city consistently ranks among the greatest startup ecosystems in the world.

Key Facts About Boston Tech

  • Number of Tech Workers: 269,000; 9.4% of overall workforce (2024 CompTIA survey)
  • Major Tech Employers: Thermo Fisher Scientific, Toast, Klaviyo, HubSpot, DraftKings
  • Key Industries: Artificial intelligence, biotechnology, robotics, software, aerospace
  • Funding Landscape: $15.7 billion in venture capital funding in 2024 (Pitchbook)
  • Notable Investors: Summit Partners, Volition Capital, Bain Capital Ventures, MassVentures, Highland Capital Partners
  • Research Centers and Universities: MIT, Harvard University, Boston College, Tufts University, Boston University, Northeastern University, Smithsonian Astrophysical Observatory, National Bureau of Economic Research, Broad Institute, Lowell Center for Space Science & Technology, National Emerging Infectious Diseases Laboratories

Sign up now Access later

Create Free Account

Please log in or sign up to report this job.

Create Free Account