Compliance Analyst

Ameriprise Financial is looking to add a Compliance Analyst to the team! The Compliance Analyst provides compliance guidance and support to compliance training projects (content, communications, and submissions) and output processing functions (statements, confirmations, and letters). The Compliance Analyst has a dotted-line reporting relationship to a second manager for half of their core responsibilities.

Key Responsibilities:

Manage training-related projects to completion (set and attend project meetings, drive timelines to delivery, assist with gathering information and analyzing issues, define criteria enrollment, build curricula and learner surveys for each launch) and assist training managers with tasks surrounding training implementation (course review, course testing, AMP-U submissions, and AdTrax submissions).

Support training compliance processes, including:

• Aid in training needs assessment / training plan creation.

• Maintain online training requirement documentation and calendar updates.

• Support regulatory requirements (manage RIM deletions/retention requirements, WSP updates/supervision, audit response, and legal and regulatory requests fulfillment).

Output Processing (e.g., client statements):

• Assist business partners in maintaining compliant policies and procedures.

• Research applicable laws and regulations.

• Conduct routine testing, general reviews, and basic data analysis including independently investigating low to medium complexity issues.

• Gather, document, and retain information. Identify issues, make recommendations, and escalate appropriately.

• Maintain current knowledge of industry practices and developments.

• Perform other duties as assigned.

Required Qualifications:

• Bachelor's Degree

• 1- 3 years of required experience

• Proficiency in Microsoft Office Suite

• Strong organizational skills

• Self-starting/problem solving skills

• Analytical skills

• Solid written and verbal communication skills

• Basic project management skills

• Knowledge of securities, retail investment, and/or insurance industries preferred

About Our Company
We’re a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Full time

Non-Exempt

Legal Affairs

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