Compliance Analyst
Ameriprise Financial Services, LLC
full-time
Posted on:
Location Type: Hybrid
Location: Minneapolis • Minnesota • United States
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Salary
💰 $28 - $39 per hour
Job Level
About the role
- Lead the Field Compliance Manual Intake process
- Serve as the primary point of contact for intake submitters, providing guidance on required information, supporting materials and next steps in the policy change process
- Facilitate the annual review and policy change submissions of the Corporate Compliance Manuals
- Coordinate with Compliance SMEs and other stakeholders to support policy drafting and approval
- Schedule and support-intake related meetings, capturing action items, alignment decisions and follow-up tasks
- Assist in identifying potential downstream impacts, communication needs and dependencies associated with policy changes
- Maintain accurate records of policy intake submissions, decisions, and supporting documentation
- Assist with periodic reviews and reporting
- Identify opportunities to improve intake workflows, tracking, and guidance
- Support updates to intake-related procedures as processes evolve
- Provide backup coverage for other policy intake/compliance operational activities as needed
- Research applicable laws and regulations to analyze their effect on business practices
- Review, research and respond to compliance related inquiries from the field and corporate business partners
Requirements
- Bachelor's Degree
- 1-3 years of relevant experience
- Excellent organizational and time management skills
- Excellent written and interpersonal communication skills
- Able to prioritize tasks, work independently and be part of a team
- Flexibility to change as well as the ability and desire to influence change
- Strong attention to detail
- Demonstrated ability to apply both strategic and analytic techniques to provide business solutions and recommendations
- Strong analytic skills
- Highly proficient with Word and Excel.
Benefits
- Health insurance
- 401(k)
- Paid time off
- Flexible work arrangements
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
policy draftingcompliance analysisworkflow improvementrecord maintenancereportingstrategic techniquesanalytic techniquesbusiness solutionsattention to detailtime management
Soft Skills
organizational skillsinterpersonal communicationwritten communicationtask prioritizationindependenceteam collaborationflexibilityinfluence changeanalytical skillsproblem-solving
Certifications
Bachelor's Degree