We are searching for a Senior Compliance Analyst within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support the Field Office Inspections department through conducting required Branch Office and Non-branch Office inspections, including Ameriprise Advisor Center, Centralized Supervision Unit and other applicable locations as determined by the Firm. You will work in a collaborative culture where you will interact with a diverse set of business partners. Come and demonstrate your flexible, creative, and detailed oriented skills. Ameriprise is an organization that is committed to diversity and inclusion that supports work-life balance, structured mentoring, and career progression! Are you ready to get started and continue growing your career? Come apply today!
Key Responsibilities
Conduct Branch and Non-branch Office FINRA required inspections, including Centralized Supervision Unit, Ameriprise Advisor Center, RiverSource and Columbia locations.
Analyze prepared information and complete independent research to identify potentially problematic behavior, violations, red flags, trends and potential areas of risk.
Conduct initial interviews and exit interviews with advisors and staff.
Review and report on the effectiveness of field compliance supervision, including identification of potential advisor sales practice violations.
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.
Identify and escalate to leadership new risk trends.
Identify process and procedure improvement opportunities and work collaboratively with colleagues/leadership to implement effective solutions.
Communicate results to all levels of leadership and work collaboratively to resolve appeals.
Work with other examiners as needed to ensure consistency of process.
Educate field members about regulatory hot topics, firm trends, and best practices.
Participate in projects, initiatives, etc. as requested.
Required Qualifications
3- 5 years relevant experience
Bachelors Degree or equivalent (4 years)
Knowledge of FINRA,SEC and other regulatory rules/requirements.
Knowledge of risks pertinent to industry and firm, and ability to strategically focus branch office 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 formulate practical solutions to technical issues.
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.
Series 7 required, or ability to obtain within 90 days post hire.
Travel: Approximately 0-10%
Preferred Qualifications
Experience in an audit function, familiarity with audit methodologies.
Excellent organization skills, ability to manage multiple priorities, ability to work independently, ability to meet time sensitive deadlines.
Knowledge of firm policies and procedures pertaining to sales organization.
Understanding of hybrid supervisory system.
Understanding of the field organization and the products the firm sells.
Ability to discern if an advisor understands features of the products they sell.
Proven ability to take initiative and follow through to conclusion.
Ability to work effectively in a team environment.
About Our Company We're a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 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.
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.
Full-Time/Part-Time
Full time
Exempt/Non-Exempt
Exempt
Job Family Group
Legal Affairs
Line of Business
GCO General Counsel's OrganizationPDN-9d417db7-b176-45e6-904a-a85575da0c4e