Compliance Manager/Officer

About Our Company

We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 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.

Job Description

Ameriprise Financial is looking to add a Compliance Manager to the team! The Complaint Resolution team is a specialized function responsible for managing customer complaints and select advisor error cases across the full range of products offered by the firm. The role is accountable for the timely and effective resolution of complaints and advisor error requests, with a strong focus on risk mitigation and regulatory compliance. The Compliance Manager evaluates and recommends outcomes to ensure they are appropriate, well-supported, and aligned with firm standards; including determining when FINRA reporting obligations apply. The role also requires applying a commercial mindset to balance regulatory requirements with business impact, ensuring practical and client-focused solutions. In addition, the Compliance Manager serves as a subject matter expert for the team, partners with offshore resources to support efficient case management, and collaborates with key business stakeholders.

Key Responsibilities

• Research and respond to customer complaints and advisor error request cases, including contacting clients and field members as necessary.

• Partner with internal business areas such as RiverSource, Legal and CSU to assist in the research of customer complaints and errors.

• Ensure that cases are processed efficiently, accurately and timely to meet regulatory requirements and expectations.

• Negotiate complex client settlements and identify alternative remediations paths for advisor errors when standard channels are unavailable.

• Provide coaching to team members in the case and ad hoc review process including with offshore team members on their cases.

• Handle delegated tasks and project work from team leaders as needed.

Required Qualifications

• Four-year degree or comparable equivalent financial services experience.

• 5+ years of relevant experience.

• Series 7 and Series 9/10 or Series 24.

• Ability to communicate effectively with advisors, field RPs, and clients both verbally and in writing.

• Strong judgement when making sound, timely independent decisions on complex matters.

• Excellent interpersonal skills with the ability to establish relationships internally and externally.

• Flexibility to change as well as the ability and desire to influence change.

• Firm understanding of the products and services offered by a broker dealer, as well as supervisory responsibilities of each.

• Ability to utilize multiple technology platforms.

Preferred Qualifications

• Prior experience with customer complaints or supervision.

In-Office Collaboration

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Visa Sponsorship

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Base Pay Salary

The estimated base salary for this role is $87,400-$120,200/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.Full timeExemptLegal AffairsGCO General Counsel's Organization

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.