Compliance Manager – Officer
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
- Serve as a primary compliance advisor to Capital Markets and IRG stakeholders, applying deep knowledge of product structures, distribution requirements, and associated regulatory frameworks.
- Monitor and interpret emerging regulatory developments, providing actionable guidance to business partners and ensuring timely incorporation of rule changes into policies, supervisory procedures, and operational processes—consistent with Compliance’s mission to foster a culture of integrity, mitigate risk, and partner closely with the business.
- Evaluate and escalate complex compliance issues, exercising sound judgment in an environment where investment products, market dynamics, and regulatory expectations continue to evolve.
- Collaborate with cross‑functional teams—including Legal, Product, Operations, and other Compliance groups—to support reviews, new product initiatives, regulatory exams, and strategic firmwide projects.
- Enhance and maintain written supervisory procedures and compliance manuals, supporting updates related to capital markets activity, product requirements, and emerging risks.
- Strengthen the firm’s risk management posture by proactively identifying trends, supporting monitoring activities, and ensuring controls align with industry best practices and regulatory expectations.
Requirements
- 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
Benefits
- vacation time
- sick time
- 401(k)
- health, dental and life insurances
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance advisoryregulatory frameworksrisk managementsupervisory procedurescapital markets activityinvestment productsregulatory examsemerging risksfinancial services knowledgeSEC regulations
Soft Skills
strong written communicationstrong verbal communicationfacilitation skillsjudgmentcollaborationactionable guidanceproblem-solvingpresentation skillsinterpersonal skillsorganizational skills
Certifications
Bachelor's degreeSeries 7Series 24