




Key Responsibilities
- Assist, coordinate, and influence business partners to ensure that effective compliance policies and procedures are developed and implemented.
- Sitting with key business partners to develop deep understanding of their processes and controls so you can understand the business well enough to effectively support their Compliance needs.
- Research applicable laws and regulations, analyze their effect on business practices, and work with GCO partners, as needed, to clarify requirements and address related issues. Identify problem policies related to the application of laws and regulations and help drive resolution.
- Assess/review new regulations, determine impact to business partners, and help drive efforts to make necessary updates to comply with new regulations in a timely and effective manner.
- Assess/review fines and enforcement actions against other firms and determine if there are risks of similar issues within our firm or if existing controls are sufficient to prevent the cited issue (or if the issue is not applicable to us)
- Actively engage when risk incidents are identified to provide Compliance guidance on appropriate steps to resolve and if any escalation is required.
- Conduct testing of key Operations and Treasury/Finance business functions for compliance with applicable laws and regulations.
- Maintain current knowledge of industry practices and developments. Raise issues and maintain records, as required or appropriate.
- Serve as an expert resource on assigned subjects for multiple lines of business and/or larger scope, provide compliance support to assigned business lines, and act as a key resource and "go to" person for business partners.
- Collaborate across compliance and legal teams to share knowledge and drive consistent expectations.
- Review internal and external business practices, analyze data, and work with partners in covered business lines to identify potential problems. Close recognized gaps and support effective day-to-day compliance oversight.
- Assist in responding to regulatory inquiries of supported areas.
- Build relationships with industry peers outside the firm to discuss common regulatory issues, concerns and trends and when appropriate partner to provide feedback to industry groups, regulators or vendors.
Required Qualifications
- Bachelors degree or equivalent.
- 3-5 years of relevant experience.
- FINRA licenses supporting industry knowledge including series 7.
- Strong knowledge of financial services industry.
- Self-motivated - able learn and understand supported business functions and to run with minimal direction, working across teams to support and encourage business partners while leading up to keep leadership aware of issues and concerns.
- Ability to multitask and juggle multiple competing priorities. Every day is different. This is absolutely not a show up and work the same report every day kind of role.
- Assertiveness - willingness/ability to take charge and drive conversations, direction of efforts, etc.
- Ability to see the big picture, challenge the status-quo, and work through scenarios that are often not black and white to achieve outcomes that both support business partners and drive effective compliance.
- Ability to prepare and/or present material for senior leaders, with leader support.
- Knowledge of SEC, FINRA, State, and other regulatory requirements for broker/dealers.
- Strong written and verbal communication skills.
- Intermediate-level skills in Microsoft Word, Excel, and PowerPoint.
Preferred Qualifications
- Prior experience with brokerage back-office operations areas (directly or through business support role in Compliance or other area).
- Experience working with large data sets of customer and transactional data and using query/reporting tools to research situations on the fly and identify issues, outliers, exceptions, etc..
- Experience working with BETA system preferred but not required.
- FINRA licenses supporting industry knowledge including 4, 24, 27 and/or 57 encouraged but not required.
About Our Company
We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.
Base Pay Salary
vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. 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.Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
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