Compliance Manager

We are searching for a Compliance Manager/Officer within the General Counsel's Organization team, who will manage aspects of, and complete, document management activities for supervisory procedures in CompliSource. Conduct testing of written supervisory procedures (WSP, IA P&P, BUSP, etc.) to evaluate if they are reasonably designed and executed to achieve compliance with regulatory requirements. Support the execution of team processes such as the Annual Review, document management (CompliSource) and Monthly Reporting. Provide training, coaching and mentoring to compliance and business partners.

Responsibilities

• Administer individual and team document management activities for supervisory procedures in CompliSource.
• Conduct testing of procedures, controls, and supervision of business unit activities.
• Support the execution of team processes such as the Annual Review and Monthly Reporting.
• Research and follow Industry rules and activities in order to help incorporate effective controls for business policies and procedures.
• Provide training, coaching and mentoring to team members and business partners.
• Maintain current knowledge of industry practices and developments.

Required Qualifications

• Bachelor’s degree or equivalent experience.
• 5-7 years of experience.
• Series 7 and Series 24.
• Strong knowledge of the financial services industry activities and regulations, including broker-dealer functions, products and services.
• Excellent communication, presentation and organizational skills.
• Ability to plan and manage multiple competing priorities.
• Ability to work independently, meet deadlines and be a team player.

Preferred Qualifications

• Prior operational experience in client service or clearing functions at a broker-dealer or insurance company.
• Prior experience testing broker-dealer controls or similar internal or external audit functions.
• High proficiency with Microsoft Word, Access and Excel.
• Document management skills. 

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 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of 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.

The estimated base salary for this role is $77,100 / $120,100 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