Compliance Manager/Officer

Ameriprise Financial Services, LLC•Minneapolis, MN

45d•$87,400 - $120,200•Hybrid

About The Position

Ameriprise Financial is looking to add a Compliance Manager to the team! The Complaint Resolution team is a specialized function responsible for managing customer complaints and select advisor error cases across the full range of products offered by the firm. The role is accountable for the timely and effective resolution of complaints and advisor error requests, with a strong focus on risk mitigation and regulatory compliance. The Compliance Manager evaluates and recommends outcomes to ensure they are appropriate, well-supported, and aligned with firm standards; including determining when FINRA reporting obligations apply. The role also requires applying a commercial mindset to balance regulatory requirements with business impact, ensuring practical and client-focused solutions. In addition, the Compliance Manager serves as a subject matter expert for the team, partners with offshore resources to support efficient case management, and collaborates with key business stakeholders.

Requirements

Four-year degree or comparable equivalent financial services experience.
5+ years of relevant experience.
Series 7 and Series 9/10 or Series 24.
Ability to communicate effectively with advisors, field RPs, and clients both verbally and in writing.
Strong judgement when making sound, timely independent decisions on complex matters.
Excellent interpersonal skills with the ability to establish relationships internally and externally.
Flexibility to change as well as the ability and desire to influence change.
Firm understanding of the products and services offered by a broker dealer, as well as supervisory responsibilities of each.
Ability to utilize multiple technology platforms.

Nice To Haves

Prior experience with customer complaints or supervision.

Responsibilities

Research and respond to customer complaints and advisor error request cases, including contacting clients and field members as necessary.
Partner with internal business areas such as RiverSource, Legal and CSU to assist in the research of customer complaints and errors.
Ensure that cases are processed efficiently, accurately and timely to meet regulatory requirements and expectations.
Negotiate complex client settlements and identify alternative remediations paths for advisor errors when standard channels are unavailable.
Provide coaching to team members in the case and ad hoc review process including with offshore team members on their cases.
Handle delegated tasks and project work from team leaders as needed.