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Job Details

Compliance Manager/Officer

Company name
Ameriprise Financial, Inc.

Minneapolis, MN

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About Ameriprise :

With the right company, life can be brilliant. At Ameriprise, we’re not just in the business of managing our clients’ finances — we also help our advisors and employees reach their true potential, too. Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work. You’ll also have plenty of opportunities to make your mark at the office and a difference in your community. So if you're talented, driven and want to work for a strong ethical company that cares, take the next step to create a brilliant career at Ameriprise Financial.

Responsibilities :

Assist, oversee and influence business partners on multiple lines of business and/or larger scope to ensure that adequate compliance policies and procedures are developed and implemented.

• Conduct required Branch Office and Office of Supervisory Jurisdiction inspections, including Ameriprise Advisor Center, Centralized Supervision Unit and other applicable locations as determined by the Firm.

• Complete independent research and analyze various information and reports prior to, or during an exam, to identify potentially problematic behavior, violations, red flags, trends and potential areas of risk; using the information gathered to complete advisor reviews.

• Conduct initial interviews and exit interviews with Registered Principals, advisors, and staff.

• Review and report on the effectiveness of field compliance supervision, including identification of potential advisor sales practice violations.

• Provide education to field members relating to subject matter which include, but are not limited to: recommending action steps to improve compliance supervisory tasks based on company and regulatory policy and procedure, hot regulatory topics, firm trends, and best practices, etc.

• Escalate issues as appropriate related to Registered Principal’s supervisory practices and/or advisor’s practices.

• Write, deliver, and follow up with RPs on Commitment to Action plan for the resolution of identified findings.

• Communicate and discuss results to all levels of field leadership. Serve as a point of contact for inspections.

• Maintain current knowledge of industry and firm practices, developments and risks.

• Partner with leadership and reach out to other teams (within and outside of compliance) to identify/understand risks, share results, escalate issues, and clarify policies and procedures.

• Work with other examiners as needed to ensure consistency of process.

• Identify process and procedure improvement opportunities and work collaboratively with colleagues/leadership to implement effective solutions.

• Engage in day to day operations of the Field Office Inspection team and/or department wide projects/initiatives.

Required Qualifications :

• Knowledge of FINRA, SEC and other regulatory rules/requirements.

• Knowledge of risks pertinent to industry and firm, and ability to strategically focus branch office/OSJ exams depending on relevant risks.

• Excellent analytical skills, including the ability to evaluate a broad scope of data to define potential risks.

• Demonstrated investigative skills, including the ability to follow an instinct while retaining an overall objective viewpoint.

• Demonstrated ability to interview various levels of leadership.

• Demonstrated ability to formulate practical solutions to technical issues.

• Excellent organization skills, ability to manage multiple priorities, ability to meet time sensitive deadlines.

• Demonstrated leadership competency, including the ability to build relationships and collaborate with other groups in the corporate office as well as the field.

• Excellent communication skills, both written and verbal. Proven ability to communicate with employees at all levels of the firm. Ability to tactfully craft difficult messages.

• Demonstrated ability to take initiative and operate independently, while able to work effectively in a team environment.

• Series 7 required for consideration.

• Series 9/10 or 24 required, or ability to obtain within corporate time frames within 90 days

• Travel: Approximately 50%

Preferred Qualifications :

• Experience in an audit function, familiarity with audit methodologies.

• Leadership experience.

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Company info

Ameriprise Financial, Inc.
Website :

Company Profile
Ameriprise Financial is a global financial leader. Integrity has been a core value since we were founded by John Tappan in 1894. It's how, through panics, recessions, the Great Depression and the recent Great Recession, we've grown into a global financial leader. We've never taken a bailout. Never lost our focus on our clients. That's who we are. During trying economic times our strength, integrity, our breadth of services and personal relationships have made us America’s leader in financial planning.

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