SVP, Chief Compliance Officer, Advice and Wealth Management and Retirement & Protection Solutions

Ameriprise Financial Services, LLC • Minneapolis, MN

2d

About The Position

The SVP, Chief Compliance Officer for Advice and Wealth Management and Retirement & Protection Solutions leads the design, implementation, and oversight of the compliance program across Ameriprise Bank, FSB and all global Advice and Wealth Management activities as well as those for the Retirement and Protection Solutions business, which includes our insurance and annuity product manufacturer and distributor. This role ensures adherence to applicable laws and regulations, develops and maintains compliance policies, and establishes effective review procedures to mitigate risk. As a strategic advisor and senior leader, the position requires deep regulatory expertise, the ability to influence across all levels, and close partnership with business leaders to safeguard the firm’s integrity and support sustainable growth.

Requirements

• Bachelor’s degree required; Juris Doctorate preferred.
• Minimum of 20 years of relevant compliance experience in financial services, preferably within wealth management or retail distribution.
• Active Series 7 and Series 24 registrations required.
• Active Series 63/65 or Series 66, preferred.
• Deep knowledge of securities laws and regulations, including the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and FINRA rules.
• Deep knowledge of AML/BSA regulations, federal and state privacy regulations, insurance and securities laws, and banking regulations.
• Proven ability to build and maintain positive relationships with regulators.
• Working knowledge of advanced compliance data analytics tools and/or overseeing teams with that knowledge.
• Demonstrated success in leading and developing high-performing teams.
• Strong strategic thinking and problem-solving skills.
• Ability to establish credibility with and influence senior business leaders.

Nice To Haves

• Active Series 63/65 or Series 66, preferred.

Responsibilities

• Enable enterprise growth through efficient solutions-oriented compliance support.
• Lead the design and execution of the global AWM compliance program, ensuring alignment with regulatory requirements and business objectives.
• Serve as the primary compliance authority for global AWM activities.
• Develop, evolve, and implement policies and procedures to ensure regulatory compliance.
• Partner with senior business leaders to operationalize compliance policies and maintain effective and efficient controls.
• Conduct proactive self-assessments against regulatory priorities and emerging and evolving expectations.
• Identify areas of compliance vulnerability and risk; oversee corrective action plans and provide expert guidance to prevent recurrence.
• Maintain strong, collaborative relationships with internal stakeholders and partners (e.g., Risk, Audit, Technology, Cyber Security) to consult on compliance matters, monitor business activities and ensure that the compliance program is properly and efficiently integrated into the firm’s overall enterprise risk framework.
• Lead and develop a high-performing team of compliance professionals, providing coaching, career development, and performance management.
• Oversee customer complaints, including management of responses to customers and related regulatory inquiries, and partner across the GCO on investigations and remediation efforts related to any misconduct.
• Ensure timely and accurate reporting of violations or potential violations as required.
• Present as needed to the relevant entity boards, including the Audit and Risk Committees of the Ameriprise Financial, Inc. Board.
• Maintain proactive and productive relationships with regulators including the Federal Reserve, OCC, SEC, FINRA, and state agencies.
• Maintain proactive and productive relationships with relevant industry groups and peer organizations.
• Set and monitor compliance goals and ensure adherence to applicable laws and regulations (e.g., FINRA, SEC, Investment Advisers Act of 1940, State Laws, and Banking Regulations).
• Ensure GCO culture, expertise, operating model & technology infrastructure meet the compliance needs of today and the future.
• Visible engagement as a senior leader in the day-to-day culture of the GCO.
• This leader exemplifies Organizational Stewardship by acting in the best interest of the enterprise, demonstrates Leadership Excellence by inspiring and guiding teams toward strategic goals, and drives Operating Effectiveness through disciplined execution and measurable outcomes across the organization

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: Executive
• Number of Employees: 5,001-10,000 employees