Compliance Manager/Officer

Ameriprise Financial Services, LLC • Minneapolis, MN

13d • $87,400 - $120,200 • Hybrid

About The Position

Ameriprise Financial is seeking a self-starting Compliance Manager/Officer on the General Counsel's Organization team to support the Field Office Inspections department. The role conducts required Branch Office and Office of Supervisory Jurisdiction inspections, including for Ameriprise Personal Wealth Group, the Centralized Supervision Unit, and other applicable locations. The position works collaboratively with diverse business partners and supports field compliance through risk-focused inspections, communication, and education. Employees work in the office at least four days per week, with flexibility to work from home one day per week; some roles may have different in-office expectations. The role requires approximately 20% travel.

Requirements

• Bachelor's degree or equivalent.
• At least 5 years of relevant work experience.
• Knowledge of FINRA, SEC, and other regulatory rules and requirements.
• Knowledge of industry and firm risks, and ability to focus Branch Office and OSJ examinations strategically according to relevant risks.
• Excellent analytical skills, including the ability to evaluate broad sets of data and identify potential risks.
• Investigative skills, including the ability to follow an instinct while maintaining an objective viewpoint.
• Ability to interview various levels of leadership.
• Ability to formulate practical solutions to technical issues.
• Strong organization skills and ability to manage multiple priorities and meet time-sensitive deadlines.
• Leadership competency, including the ability to build relationships and collaborate with corporate office and field groups.
• Excellent written and verbal communication skills, including the ability to communicate with employees at all levels and tactfully craft difficult messages.
• Ability to take initiative and work independently while also working effectively in a team.
• Series 9/10 or Series 24 required, or ability to obtain one within corporate timeframes.
• Valid U.S. work authorization that does not now or in the future require visa sponsorship.

Nice To Haves

• Series 7 preferred; candidates without it may be considered based on at least 5 years of industry experience, but must obtain it within the allocated time after hiring.
• Experience in an audit function and familiarity with audit methodologies.
• Leadership experience.

Responsibilities

• Research and analyze information and reports before and during examinations to identify potentially problematic behavior, violations, red flags, trends, and areas of risk.
• Conduct initial and exit interviews with Registered Principals, advisors, and staff.
• Review and report on field compliance supervision effectiveness, including potential advisor sales practice violations.
• Educate field members on compliance topics and recommend action steps to improve supervisory tasks based on company and regulatory policies and procedures, regulatory topics, firm trends, and best practices.
• Escalate issues relating to Registered Principal supervisory practices and advisor practices as appropriate.
• Write, deliver, and follow up with Registered Principals on Commitment to Action plans to resolve identified findings.
• Communicate and discuss inspection results with field leadership at all levels and serve as an inspections point of contact.
• Maintain current knowledge of industry and firm practices, developments, and risks.
• Partner with leadership and other teams within and outside compliance to identify and understand risks, share results, escalate issues, and clarify policies and procedures.
• Work with other examiners as appropriate to ensure process consistency.
• Identify process and procedure improvements and collaborate with colleagues and leadership to implement solutions.
• Participate in the Field Office Inspection team's day-to-day operations and department-wide projects or initiatives.

Benefits

• Vacation time
• Sick time
• 401(k)
• Health insurance
• Dental insurance
• Life insurance
• Variable pay may be available in the form of bonuses, commissions, and/or long-term incentives, depending on the role.

What This Job Offers

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