We have an exciting opportunity as a Sr. Compliance Analyst at Ameriprise! In this role, you will perform Compliance monitoring reviews covering a variety of regulatory topics and perform oversight of internal operations and outsourced providers to our global investment management businesses. Come apply today!
Key Responsibilities
- Conducting regional and global Compliance testing and monitoring reviews in collaboration with both US and EMEA based Compliance Monitoring team colleagues
- Performing ongoing internal and external service provider monitoring tasks
- Provide compliance advisory support to assigned business areas
- Supporting formal due diligence reviews of material third party service providers
- Ownership/performance of ongoing monitoring tasks as part of the program of continuous assurance work, including ongoing third-party oversight
- Creating management reporting/information
- Assisting with ad-hoc Compliance tasks and project work as required
Required Qualifications
- Bachelor's degree or equivalent (4-years)
- 3-5 years relevant experience
- 2+ years' experience in the Asset Management industry
- Ability to build and develop working knowledge of applicable Industry regulations.
- Strong verbal and written communication skills.
- Ability to manage a number of responsibilities simultaneously and prioritize tasks effectively
- Ability to collaborate, communicate, and influence across different levels of an organization.
- Negotiation, decision making and problem-solving skills.
Preferred Qualifications
- Familiarity with US Federal Securities Laws (e.g., Investment Company Act of 1940)
- Experience with conducting Compliance monitoring, audit or similar testing or assurance work in the financial services industry
- Ability to quickly learn new software and create effective communications in Word, Excel, and PowerPoint
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.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
Full-Time/Part-Time
Full time
Exempt/Non-Exempt
Exempt
Job Family Group
Legal Affairs
Line of Business
GCO General Counsel's Organization
What We Do
Ameriprise Financial has helped millions of clients feel confident about their financial futures for more than 125 years. Our network of approximately 10,000 financial advisors* delivers personalized financial advice to help clients reach their goals.
We believe that with the right advisor, the right advice, and the right firm, life can be brilliant.
Ameriprise has corporate locations throughout the U.S. and across the globe, and advisor offices in all 50 states.
Learn how you can build your career at Ameriprise Financial.
*Ameriprise Financial Q2 2020 Statistical Supplement
All content on this page is provided for informational purposes only and should not be used as the sole basis for investment decisions. Ameriprise Financial cannot guarantee future financial results. Investment products are not federally or FDIC insured, are not deposits or obligations of, or guaranteed by, any financial institution, and involve investment risks including possible loss of the entire amount invested.
By clicking on a hyperlink, you may be directed to a non-Ameriprise website. Be aware that the linked site will be subject to rules, regulation, and privacy and security provisions that are separate, and may differ, from Ameriprise Financial.
Investment advisory products and services are made available through Ameriprise Financial Services, LLC., a registered investment adviser.
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