Compliance Manager/Officer

Ameriprise Financial Services, LLC • Minneapolis, MN

1d

About The Position

We are searching for an 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 Advice and Wealth Management Compliance program for Ameriprise Financial through performance of ongoing compliance monitoring, oversight, and advisory activities. 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. Are you ready to get started and continue growing your career? Come apply today! The Compliance Manager for Capital Markets and the Investment Research Group (IRG) plays a critical leadership role in supporting the firm’s oversight of complex investment products, evolving regulatory expectations, and high‑impact business initiatives. This role provides specialized compliance expertise across exchange‑traded products, fixed income. structured products, and other sophisticated capital markets activities, as well as the research initiatives of the Firm. The individual in this role will: - Serve as a primary compliance advisor to Capital Markets and IRG stakeholders, applying deep knowledge of product structures, distribution requirements, and associated regulatory frameworks. - Monitor and interpret emerging regulatory developments, providing actionable guidance to business partners and ensuring timely incorporation of rule changes into policies, supervisory procedures, and operational processes—consistent with Compliance’s mission to foster a culture of integrity, mitigate risk, and partner closely with the business. - Evaluate and escalate complex compliance issues, exercising sound judgment in an environment where investment products, market dynamics, and regulatory expectations continue to evolve. - Collaborate with cross‑functional teams—including Legal, Product, Operations, and other Compliance groups—to support reviews, new product initiatives, regulatory exams, and strategic firmwide projects - Enhance and maintain written supervisory procedures and compliance manuals, supporting updates related to capital markets activity, product requirements, and emerging risks. Strengthen the firm’s risk management posture by proactively identifying trends, supporting monitoring activities, and ensuring controls align with industry best practices and regulatory expectations. This role demands a high‑performing professional who brings strong critical thinking, technical product knowledge, and the ability to translate regulatory complexity into clear, practical guidance. The incoming Compliance Manager will build on the strong foundation established and will help ensure the organization continues to deliver disciplined, high‑quality compliance oversight in a rapidly changing environment.

Requirements

• Bachelors degree or equivalent (4-years)
• 5-7 years of relevant experience
• Series 7 and 24, or ability to obtain
• Strong knowledge of financial services industry.
• Knowledge of SEC, CFTC, State, and other regulatory requirements for investment advisers, registered investment companies, and broker/dealers.
• Strong written and verbal communication skills.
• Facilitation skills.
• Ability to prepare and/or present material for senior leaders, with leader support.
• Intermediate-level skills in Microsoft Word, Excel, and PowerPoint.

Nice To Haves

• Experience in developing process flows/diagrams.
• Working knowledge of Microsoft Visio.
• Microsoft Access skills and Power BI

Responsibilities

• Conduct testing of business functions for compliance with applicable laws and regulations.
• Assist, coordinate, and influence business partners 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 problem policies related to the application of laws and regulations.
• Maintain current knowledge of industry practices and developments.
• Raise issues and maintain records, as required or appropriate.
• Serve as an expert resource on assigned subjects for multiple lines of business and/or larger scope, provide compliance support to assigned business lines, and act as a key resource and “go to” person for business partners.
• Review internal and external business practices, analyze data, and work with partners in covered business lines to identify potential problems.
• Close recognized gaps and support effective day-to-day compliance oversight.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level