Compliance Manager/Officer

Ameriprise • Minneapolis, MN

11d • Hybrid

About The Position

Ameriprise Financial is seeking a Compliance Manager/Officer in the General Counsel's Organization to support the Field Office Inspections department. The role conducts required inspections of Branch Offices, Offices of Supervisory Jurisdiction (OSJs), Ameriprise Personal Wealth Group, the Centralized Supervision Unit, and other applicable locations. The position collaborates with a diverse set of business partners and requires independent, detailed, and risk-focused work. 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. Travel is approximately 20%.

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/OSJ exams strategically based on relevant risks.
• Excellent analytical skills, including evaluating a broad scope of data to define potential risks.
• Investigative skills, including following an instinct while retaining an objective viewpoint.
• Ability to interview various levels of leadership.
• Ability to formulate practical solutions to technical issues.
• Strong organizational skills and ability to manage multiple priorities and meet time-sensitive deadlines.
• Leadership competency, including relationship-building and collaboration with corporate office and field groups.
• Excellent written and verbal communication skills and ability to communicate with employees at all levels.
• Ability to tactfully craft difficult messages.
• Ability to take initiative and work independently as well as effectively in a team environment.
• Series 9/10 or Series 24 license, or ability to obtain one within corporate timeframes.
• If hired without Series 7, at least 5 years of industry experience may be considered in lieu of the license at application; Series 7 will be required within the allocated time after hiring.
• Ability to work in the office at least four days per week and from home one day per week, subject to role-specific expectations.
• Valid U.S. work authorization that does not now or in the future require visa sponsorship.

Nice To Haves

• Series 7 license preferred for consideration.
• Experience in an audit function and familiarity with audit methodologies.
• Leadership experience.

Responsibilities

• Research and analyze information and reports before and during exams to identify potentially problematic behavior, violations, red flags, trends, and risk areas.
• Conduct initial and exit interviews with Registered Principals, advisors, and staff.
• Review and report on the effectiveness of field compliance supervision, including potential advisor sales practice violations.
• Educate field members on compliance topics, recommend action steps to improve supervisory tasks, and address regulatory topics, firm trends, and best practices.
• Escalate issues related to Registered Principal supervisory practices and/or 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 all levels of field leadership and serve as a point of contact for inspections.
• Maintain current knowledge of industry and firm practices, developments, and risks.
• Partner with leadership and other teams to identify and understand risks, share results, escalate issues, and clarify policies and procedures.
• Work with other examiners when appropriate to ensure consistency of process.
• Identify process and procedure improvements and collaborate with colleagues and leadership to implement solutions.
• Participate in day-to-day Field Office Inspection team operations and department-wide projects or initiatives.

Benefits

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

What This Job Offers

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