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Ameriprise Financial Services, LLC · 2 days ago

Compliance Manager

Minneapolis, MN

Full-time

Hybrid

Mid, Senior Level

$87K/yr - $120K/yr

5+ years exp

Ameriprise Financial Services, LLC is a diversified financial services leader committed to client-focused solutions. They are seeking a Compliance Manager to support the Field Office Inspections department by conducting inspections and ensuring compliance with regulatory policies and procedures.

CommercialConstructionProperty ManagementReal EstateResidential

Responsibilities

Complete independent research and analyze various information and reports prior to, and during an exam, to identify potentially problematic behavior, violations, red flags, trends and potential areas of risk

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, best practices, etc

Escalate issues as appropriate related to Registered Principal supervisory practices and/or advisor practices

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

Communicate and discuss results to all levels of field leadership and 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 when appropriate 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

Qualification

FINRA regulationsAnalytical skillsInvestigative skillsInterviewing skillsLeadership competencyCommunication skillsOrganizational skillsProblem-solving skillsSeries 7 certificationSeries 9/1024 certificationAudit experience

Required

Bachelor's Degree or equivalent

5+ years of relevant work experience

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 preferred for consideration. However, 5+ years of industry experience in lieu of the Series 7 will be taken into consideration if candidate does not have Series 7 at the time of application, which will be required within the allocated time after hiring

Series 9/10 or 24 required, or ability to obtain within corporate timeframes

Travel: Approximately 20%