Compliance Manager/Officer jobs in United States
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Ameriprise Financial Services, LLC · 12 hours ago

Compliance Manager/Officer

positionCharlotte, North Carolina
timeFull-time
remoteOnsite
senioritySenior Level
money$87K/yr - $120K/yr
date5+ years exp

Ameriprise Financial Services, LLC is a diversified financial services leader with more than $1.5 trillion in assets under management. They are seeking a Compliance Manager/Officer to support the Advice and Wealth Management Compliance program by performing ongoing compliance monitoring, oversight, and advisory activities within the General Counsel's Organization team.

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Responsibilities

Conduct testing of business functions for compliance with applicable laws and regulations
Assist, coordinate, and influence business partners 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 problem policies related to the application of 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
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

Qualification

Series 7Financial services knowledgeRegulatory compliance expertiseMicrosoft WordMicrosoft ExcelMicrosoft PowerPointProcess flow developmentMicrosoft VisioMicrosoft AccessPower BIWritten communicationVerbal communicationFacilitation skills

Required

Bachelors degree or equivalent (4-years)
5-7 years of relevant experience
Series 7 and 24, or ability to obtain
Strong knowledge of financial services industry
Knowledge of SEC, CFTC, State, and other regulatory requirements for investment advisers, registered investment companies, and broker/dealers
Strong written and verbal communication skills
Facilitation skills
Ability to prepare and/or present material for senior leaders, with leader support
Intermediate-level skills in Microsoft Word, Excel, and PowerPoint

Preferred

Experience in developing process flows/diagrams
Working knowledge of Microsoft Visio
Microsoft Access skills and Power BI

Benefits

Vacation time
Sick time
401(k)
Health, dental and life insurances

Company

Ameriprise Financial Services, LLC

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At Ameriprise Financial, we have been helping people feel more confident about their financial future for 130 years.
dateFounded in 1990
location
Vancouver, Washington, USA
people-size5001-10000 employees
web-link
https://www.kpsinc.net

Funding

Current Stage
Late Stage

Leadership Team

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Angela Grabovsky, CFP®, CRPC®, MBA, APMA®
Private Wealth Advisor, Chief Executive Officer
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Anthony C. Barone
Chief Executive Officer,Financial Advisor- The Barone Financial Consulting Group
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Recent News

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Experienced, Female-Led Team With More Than $300 Million in Assets Joins Ameriprise Financial for Greater Flexibility, Independence, and Support
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Ameriprise price target raised by $18 at BofA, here's why
2025-10-02
Company data provided by crunchbase