Ameriprise Financial Services, LLC · 14 hours ago
Compliance Manager/Officer
Minneapolis, MN
Full-time
Onsite
Mid, Senior Level
$87K/yr - $120K/yr
5+ years expAmeriprise Financial Services, LLC is a diversified financial services leader managing over $1.5 trillion in assets. They are seeking a Compliance Manager/Officer to support the Advice and Wealth Management Compliance program by conducting compliance monitoring, oversight, and advisory activities while collaborating with business partners.
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Responsibilities
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
Conduct testing of business functions for compliance with applicable laws and regulations
Assist, coordinate, and influence business partners to ensure that adequate compliance policies and procedures are developed and implemented
Research applicable laws and regulations, analyze their effect on business practices, and work with Legal Department partners, as needed, to clarify requirements and address related issues. Identify problem policies related to the application of laws and regulations
Maintain current knowledge of industry practices and developments. Raise issues and maintain records, as required or appropriate
Serve as an expert resource on assigned subjects for multiple lines of business and/or larger scope, provide compliance support to assigned business lines, and act as a key resource and 'go to' person for business partners
Review internal and external business practices, analyze data, and work with partners in covered business lines to identify potential problems. Close recognized gaps and support effective day-to-day compliance oversight
Qualification
Required
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
Preferred
Experience in developing process flows/diagrams
Working knowledge of Microsoft Visio
Microsoft Access skills and Power BI
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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