Vice President, Compliance & Chief Compliance Officer, Clearing Operations

Ameriprise Financial Services, LLC • Minneapolis, MN

10d

About The Position

We are seeking a Vice President, Compliance & Chief Compliance Officer for American Enterprise Investment Services, Inc. (AEIS). AEIS is Ameriprise Financials’ clearing broker‑dealer, responsible for trading, clearing, custody, and the operational infrastructure that supports the firm’s wealth management platform. This position plays a critical leadership role in shaping and advancing the compliance strategy for a complex, high‑growth clearing broker‑dealer. This senior leader is responsible for leading the design and ongoing evolution of a modern compliance program while serving as a trusted partner to senior leaders across Service, Operations, Trading, and Finance. Working closely with the SVP and Chief Compliance Officer for Advice and Wealth Management, the role balances regulatory rigor with business enablement—strengthening controls, anticipating risk, and embedding a culture of compliance across the organization. The VP leads and develops a high‑performing compliance team, provides strategic counsel to business partners, and represents AEIS in regulatory readiness efforts and external engagements.

Requirements

• 15+ years of compliance, risk, audit, or regulatory experience within financial services, with concentration in clearing broker-dealer services compliance, wealth management, broker/dealer supervision, trading, or operational compliance.
• Prior leadership experience managing teams and influencing across functions.
• Strong knowledge of SEC, FINRA, MSRB, and NSCC regulations.
• Demonstrated track record and deep familiarity with broker/dealer operational, supervision, trading oversight, and operational compliance.
• Ability to analyze complex issues and develop practical, risk‑aligned solutions.
• Excellent communication, relationship‑building, and leadership skills.
• Experience with data analytics or compliance technology platforms preferred.
• Proven track record of effective people leadership including leading through change.
• Active Series 7 & Series 24 registrations required

Nice To Haves

• Active Series 63/65 or Series 66, preferred
• Bachelor’s degree required; Juris Doctorate preferred.

Responsibilities

• Support the development, implementation, and continuous refinement of the AEIS compliance program, ensuring alignment with regulatory requirements and business objectives.
• Lead compliance oversight activities across AEIS and more broadly Service, Operations, Trading, and Finance, to ensure consistent application of firm policies and regulatory expectations.
• Oversee risk assessments and ongoing surveillance programs related to trading activity, financial operations, operational processes, and service-related functions.
• Identify any potential compliance vulnerabilities and lead corrective action efforts, ensuring timely remediation and sustainable control enhancements.
• Serve as the primary compliance advisor to leaders in Service, Operations, Trading, and Finance. Partner with senior business leaders to operationalize compliance requirements, ensuring controls are efficient and embedded in day‑to‑day processes.
• Draft, review, and update compliance policies and procedures applicable to functional areas of responsibility.
• Support the SVP–CCO, AWM and other internal partners in preparing for regulatory exams, audits, and inquiries from the federal regulatory agencies, including the SEC and Federal Reserve, state regulatory agencies and self-regulatory organizations. Participate in meetings or responses involving regulators as needed, helping represent functional compliance areas professionally and accurately.
• Maintain strong working relationships with colleagues at all levels across the organization, including key partners within Risk, Audit, Finance, Technology, and Cybersecurity.
• Lead and develop a team of compliance professionals within areas of responsibility. Provide coaching, mentorship, and performance management while fostering a culture of accountability, collaboration, and continuous improvement.
• Partner with Government Affairs team to strategically advocate on proposed legislation and regulation.
• Continuously evaluate and innovate the operations of the team, including leveraging intelligent automation, artificial intelligence, and data & analytics.
• Engage actively in industry trade groups, including serving on relevant committees, and networking with peers at other firms to both maintain knowledge of competitive environment and influence industry practice consistent with the firm’s strategic priorities.
• Visibly engage as a senior leader in the day-to-day culture of the GCO, and broader company, promoting an inclusive environment and talent practices that support development, advancement, and succession.

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