Senior Compliance Analyst

We are searching for a Senior Compliance Analyst within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support the Field Office Inspections department through conducting required Branch Office and Non-branch Office inspections, including Ameriprise Advisor Center, Centralized Supervision Unit and other applicable locations as determined by the Firm. You will work in a collaborative culture where you will interact with a diverse set of business partners. Come and demonstrate your flexible, creative, and detailed oriented skills. Ameriprise is an organization that is committed to diversity and inclusion that supports work-life balance, structured mentoring, and career progression! Are you ready to get started and continue growing your career? Come apply today!

Key Responsibilities

• Conduct Branch and Non-branch Office FINRA required inspections, including Centralized Supervision Unit, Ameriprise Advisor Center, RiverSource and Columbia locations.
• Analyze prepared information and complete independent research to identify potentially problematic behavior, violations, red flags, trends and potential areas of risk.
• Conduct initial interviews and exit interviews with advisors and staff. 
• Review and report on the effectiveness of field compliance supervision, including identification of potential advisor sales practice violations.
• Maintain current knowledge of industry and firm practices, developments, and risks.
• Partner with leadership and reach out to other teams (within and outside of compliance) to identify/understand risks, share results, escalate issues, and clarify policies and procedures.
• Identify and escalate to leadership new risk trends.
• Identify process and procedure improvement opportunities and work collaboratively with colleagues/leadership to implement effective solutions.
• Communicate results to all levels of leadership and work collaboratively to resolve appeals.
• Work with other examiners as needed to ensure consistency of process.
• Educate field members about regulatory hot topics, firm trends, and best practices.
• Participate in projects, initiatives, etc. as requested.

Required Qualifications

• 3- 5 years relevant experience
• Bachelors Degree or equivalent (4 years)
• Knowledge of FINRA, SEC and other regulatory rules/requirements. 
• Knowledge of risks pertinent to industry and firm, and ability to strategically focus branch office exams depending on relevant risks.
• Excellent analytical skills, including the ability to evaluate a broad scope of data to define potential risks.
• Demonstrated investigative skills, including the ability to follow an instinct while retaining an overall objective viewpoint.
• Demonstrated ability to formulate practical solutions to technical issues.
• Demonstrated leadership competency, including the ability to build relationships and collaborate with other groups in the corporate office as well as the field. 
• Excellent communication skills, both written and verbal. Proven ability to communicate with employees at all levels of the firm. Ability to tactfully craft difficult messages.
• Series 7 required, or ability to obtain within 90 days post hire. 
• Travel: Approximately 0-10%

Preferred Qualifications

• Experience in an audit function, familiarity with audit methodologies.
• Excellent organization skills, ability to manage multiple priorities, ability to work independently, ability to meet time sensitive deadlines.
• Knowledge of firm policies and procedures pertaining to sales organization. 
• Understanding of hybrid supervisory system. 
• Understanding of the field organization and the products the firm sells. 
• Ability to discern if an advisor understands features of the products they sell.
• Proven ability to take initiative and follow through to conclusion.
• Ability to work effectively in a team environment.

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