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Compliance Manager, Field Office Inspections - Remote
Job Description Assist, oversee, and influence business partners on multiple lines of business and/or larger scope. Ensure that adequate compliance policies and procedures are developed and implemented. If you are not located close to a physical office, remote work is considered for qualified candidates. Responsibilities ??? 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


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