Compliance Analyst

Ameriprise Financial Services, LLC•Minneapolis, MN

2d•$28 - $39•Hybrid

About The Position

We are searching for a Compliance Analyst within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals in support of the Advice and Wealth Management (AWM) Compliance program. This role is responsible for facilitating the established Field Compliance Manual Intake process and supports the policy lifecycle. As well as maintaining the Corporate Compliance Manuals and other compliance resources in a timely and controlled manner. Success in this role requires strong organizational, communication, and analytical skills; attention to detail; and the ability to prioritize tasks, work independently and as a team.

Requirements

Bachelor's Degree
1-3 years of relevant experience
Excellent organizational and time management skills
Excellent written and interpersonal communication skills
Able to prioritize tasks, work independently and be part of a team
Flexibility to change as well as the ability and desire to influence change.
Capacity to plan and manage multiple and competing priorities in a highly dynamic environment and to meet deadlines.
Strong attention to detail.
Demonstrated ability to apply both strategic and analytic techniques to provide business solutions and recommendations.
Strong analytic skills.
Highly proficient with Word and Excel.
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Responsibilities

Lead the Field Compliance Manual Intake process
Serve as the primary point of contact for intake submitters, providing guidance on required information, supporting materials and next steps in the policy change process.
Facilitate the annual review and policy change submissions of the Corporate Compliance Manuals
Coordinate with Compliance SMEs and other stakeholders to support policy drafting and approval.
Schedule and support-intake related meetings, capturing action items, alignment decisions and follow-up tasks.
Assist in identifying potential downstream impacts, communication needs and dependencies associated with policy changes.
Maintain accurate records of policy intake submissions, decisions, and supporting documentation.
Assist with periodic reviews and reporting.
Identify opportunities to improve intake workflows, tracking, and guidance.
Support updates to intake-related procedures as processes evolve.
Provide backup coverage for other policy intake/compliance operational activities as needed.
Research applicable laws and regulations to analyze their effect on business practices
Review, research and respond to compliance related inquiries from the field and corporate business partners.
As business needs evolve, you will have opportunities to broaden your expertise and impact by supporting additional compliance SME areas.