Provide compliance oversight and guidance to key business partners, helping ensure business practices align with regulatory requirements. Ensure that adequate compliance policies and procedures are developed, implemented and tested. Assist, oversee, and influence business partners and senior business leaders on assigned subjects for multiple lines of business and/or larger scope.
Assist, oversee, and influence business partners and senior business leaders to ensure that adequate compliance policies and procedures are developed and implemented.
Research applicable laws and regulations, analyze their effect on business practices, and work with Legal Department partners, as needed, to clarify requirements and address related issues. Identify and take action.
Maintain current knowledge of industry trends, practices and developments. Escalate issues and maintain records, as required or appropriate. Take action within authority or review with leader prior to taking action.
Serve as an expert resource on assigned subjects for multiple lines of business and/or larger scope, provide compliance support to assigned business lines, act as a key resource and "go to" person for business partners, and influence appropriate business partners and leaders with respect to key business initiatives and compliance requirements. Identify trends and influence change.
Assist with regulatory exams and inquiries, establish/lead the response team for issues involving areas of responsibility, and present results to leadership.
Coordinate and support reviews and testing of internal and external business practices, analyze data, and work with partners in covered business lines to identify potential problems. Close recognized gaps and ensure effective day-to-day compliance oversight. Propose solutions to business problems.
Investigate high-complexity issues, gather/research and track related information, serve as a "go to" person for team members related to the investigation, and make decisions/problem resolution and/or recommendations, as appropriate, and guide business leaders regarding potential changes.
Bachelors degree or equivalent (4-years)
5-7 years of relevant experience
Series 7 and Series 24
Proven success in audit and/or compliance functions.
Strong knowledge of financial services industry.
Knowledge of FINRA, SEC, State, and other regulatory requirements.
Strong communication (written and verbal) and facilitation skills including ability to influence key business partners regarding regulatory topics.
Ability to prepare and/or present material for senior leaders, with leader support.
Ability to prioritize and manage competing priorities.
Self-starter able to work independently.
Familiarity with core back-office operations areas including Margins, Settlements, Divs/Reorg, Money Movement, etc.
Familiarity with BETA Host/ThomsonOne
Data analytic skills useful but not required
About Our Company
At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
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.