Overseeing compliance inspections for an investment management company. Supporting the development and maintenance of compliance processes and providing guidance on regulatory implications.
About the role
- Compliance Manager ensuring adherence to regulations through inspections and compliance monitoring at Ameriprise. Collaborating with diverse business partners in a structured, supportive environment.
Responsibilities
- Conduct required Branch Office and Office of Supervisory Jurisdiction inspections
- Complete independent research and analyze information prior to exams
- Conduct initial and exit interviews with Registered Principals and staff
- Review and report on field compliance supervision effectiveness
- Provide education to field members on compliance supervisory tasks
- Write, deliver, and follow up on Commitment to Action plans
- Communicate results to field leadership
- Maintain knowledge of industry and firm practices
- Identify process improvement opportunities
Requirements
- Bachelor's Degree or equivalent
- 5+ years of relevant work experience
- Knowledge of FINRA, SEC and other regulatory rules/requirements
- Excellent analytical skills
- Demonstrated investigative skills
- Excellent organization skills
- Excellent communication skills
- Series 7 preferred or 5+ years of industry experience in lieu of it
- Series 9/10 or 24 required or ability to obtain within corporate timeframes
Benefits
- health, dental and life insurances
- 401(k)
- vacation time
- sick time
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