Compliance Manager

We are searching for a Compliance Manager/Officer within the General Counsel's Organization within the Complaint Resolution team, which is a dynamic group responsible for managing customer complaints and certain advisor errors that encompasses the full scope of products offered by the Firm. Responsible for the effective and timely processing of complaints and advisor error requests to mitigate regulatory risk to the firm. The Compliance Manager is required to ensure recommended outcomes to client complaints and errors are appropriate, and that FINRA filings are made when applicable. A Compliance Manager is expected to be a resource for the team, to partner with offshore team members on case handling, and to provide support to external business partners.

Key Responsibilities

• Process customer complaints and request cases, including contacting field members and clients as necessary. 

• Ensure that customer complaints and requests are processed efficiently, accurately, and timely to meet regulatory requirements and expectations. This includes negotiating complex client settlements.

• Train and coach other team members in the case and ad hoc review process while simultaneously managing his/her own case workload. This includes partnering with offshore team members on their cases.

• Handle delegated tasks from the team leader as needed.

Required Qualifications

• Bachelors Degree or equivalent

• 5 to 7 years relevant experience

• Must have the ability to communicate effectively with advisors, field RPs, and clients. 

• 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. 

• Demonstrated quantitative and qualitative analytical and problem-solving skills. 

• FINRA Series 7 License and the ability to obtain FINRA Series 24 within 120 days.

Preferred Qualifications

• Ability to use strong judgment when making sound, timely independent decisions on complex matters. 

• Superb written and verbal communication expertise. 

• 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. 

• Ability to think strategically. 

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

Exempt

Legal Affairs

GCO General Counsel's Organization