Ameriprise Financial Services, LLC · 3 days ago
Compliance Manager
Minneapolis, MN
Full-time
Onsite
Mid, Senior Level
$87K/yr - $120K/yr
5+ years expAmeriprise Financial Services, LLC is a diversified financial services leader committed to diversity and inclusion. They are seeking a Compliance Manager/Officer to support the review of broker-dealer and investment advisory communications, ensuring compliance with regulatory requirements and internal policies.
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Responsibilities
Review of broker-dealer, registered investment adviser, insurance and other created communications and marketing materials for compliance with applicable FINRA and SEC regulatory requirements, state, other applicable advertising regulations and guidance and internal company compliance policies and procedures
Identify and escalate communications as needed to other subject matter experts and/or review groups
Build and maintain relationships with key business & GCO partners and promote a culture of compliance
Stay up to date on applicable laws and regulations, analyze their effect on business practices and provide guidance to business partners
Work collaboratively with multiple business partners to gain a thorough understanding of our products and business
Proactively attend meetings and hold ad hoc discussions with business partners and other areas to understand new initiatives, offer compliance guidance, and determine the potential impact to communications and marketing materials
Oversee and influence business partners to ensure compliance policies and procedures are implemented
Contribute to the development/improvement, maintenance and implementation of business unit procedures and employee training materials, designed to help ensure that materials produced are compliant
Work on special projects and perform other duties as assigned
Qualification
Required
Bachelor's degree or equivalent (4-years)
5-7 years of relevant work experience
Proven success in audit and/or compliance functions
Strong knowledge of financial services industry
Knowledge Of FINRA, SEC, State, And Other Regulatory Requirements
Strong written and verbal communication skills
Minimum Of 2 Years Of Hands-on Communication Review Experience
Facilitation skills
Ability to prepare and/or present material for senior leaders, with leader support
Proven ability to think fast, respond quickly and learn quickly in a fast-paced environment
Enjoy working autonomously as well as with groups
Excellent Project Management skills
Excellent analytical and research skills
Strong interpersonal skills with a client focus
Preferred
FINRA Series 7 and 24 registrations preferred or obtain in an agreed upon timeline
Ability to quickly learn new software and ability to create effective communications in Word, Excel, and PowerPoint
Benefits
Vacation time
Sick time
401(k)
Health, dental and life insurances
Company
Ameriprise Financial Services, LLC
At Ameriprise Financial, we have been helping people feel more confident about their financial future for 130 years.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Angela Grabovsky, CFP®, CRPC®, MBA, APMA®
Private Wealth Advisor, Chief Executive Officer
Anthony C. Barone
Chief Executive Officer,Financial Advisor- The Barone Financial Consulting Group
Recent News
2025-10-03
2025-10-02
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