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Ameriprise Financial Services, LLC · 3 days ago

SVP, Chief Compliance Officer, Advice and Wealth Management and Retirement & Protection Solutions

Minneapolis, MN

Full-time

Onsite

Director/Executive

$320K/yr - $350K/yr

20+ years exp

Ameriprise Financial Services, LLC is a diversified financial services leader managing over $1.5 trillion in assets. The SVP, Chief Compliance Officer will lead the compliance program for Advice and Wealth Management and Retirement & Protection Solutions, ensuring adherence to laws and regulations while partnering with business leaders to mitigate risk and support growth.

CommercialConstructionProperty ManagementReal EstateResidential

Responsibilities

Enable enterprise growth through efficient solutions-oriented compliance support

Lead the design and execution of the global AWM compliance program, ensuring alignment with regulatory requirements and business objectives

Serve as the primary compliance authority for global AWM activities

Develop, evolve, and implement policies and procedures to ensure regulatory compliance

Partner with senior business leaders to operationalize compliance policies and maintain effective and efficient controls

Conduct proactive self-assessments against regulatory priorities and emerging and evolving expectations

Identify areas of compliance vulnerability and risk; oversee corrective action plans and provide expert guidance to prevent recurrence

Maintain strong, collaborative relationships with internal stakeholders and partners (e.g., Risk, Audit, Technology, Cyber Security) to consult on compliance matters, monitor business activities and ensure that the compliance program is properly and efficiently integrated into the firm’s overall enterprise risk framework

Lead and develop a high-performing team of compliance professionals, providing coaching, career development, and performance management

Oversee customer complaints, including management of responses to customers and related regulatory inquiries, and partner across the GCO on investigations and remediation efforts related to any misconduct

Ensure timely and accurate reporting of violations or potential violations as required

Present as needed to the relevant entity boards, including the Audit and Risk Committees of the Ameriprise Financial, Inc. Board

Maintain proactive and productive relationships with regulators including the Federal Reserve, OCC, SEC, FINRA, and state agencies

Maintain proactive and productive relationships with relevant industry groups and peer organizations

Set and monitor compliance goals and ensure adherence to applicable laws and regulations (e.g., FINRA, SEC, Investment Advisers Act of 1940, State Laws, and Banking Regulations)

Ensure GCO culture, expertise, operating model & technology infrastructure meet the compliance needs of today and the future

Visible engagement as a senior leader in the day-to-day culture of the GCO

This leader exemplifies Organizational Stewardship by acting in the best interest of the enterprise, demonstrates Leadership Excellence by inspiring and guiding teams toward strategic goals, and drives Operating Effectiveness through disciplined execution and measurable outcomes across the organization

Qualification

Compliance program leadershipRegulatory expertiseSecurities laws knowledgeAML/BSA regulations knowledgeActive Series 7 registrationActive Series 24 registrationCompliance data analyticsInfluencing skillsTeam leadershipStrategic thinkingProblem-solving skillsRelationship building