Compliance Manager
Ameriprise Financial Services, LLC
full-time
Posted on:
Location Type: Hybrid
Location: Minneapolis • Minnesota • North Carolina • United States
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Salary
💰 $87,400 - $120,200 per year
About the role
- 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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
analytical skillsinvestigative skillscompliance supervisionprocess improvement
Soft skills
organization skillscommunication skills
Certifications
Bachelor's DegreeSeries 7Series 9Series 10Series 24