Vice President, Compliance & Chief Compliance Officer, Clearing Operations

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

We are seeking a Vice President, Compliance & Chief Compliance Officer for American Enterprise Investment Services, Inc. (AEIS). AEIS is Ameriprise Financials’ clearing broker‑dealer, responsible for trading, clearing, custody, and the operational infrastructure that supports the firm’s wealth management platform. This position plays a critical leadership role in shaping and advancing the compliance strategy for a complex, high‑growth clearing broker‑dealer. This senior leader is responsible for leading the design and ongoing evolution of a modern compliance program while serving as a trusted partner to senior leaders across Service, Operations, Trading, and Finance.
Working closely with the SVP and Chief Compliance Officer for Advice and Wealth Management, the role balances regulatory rigor with business enablement—strengthening controls, anticipating risk, and embedding a culture of compliance across the organization. The VP leads and develops a high‑performing compliance team, provides strategic counsel to business partners, and represents AEIS in regulatory readiness efforts and external engagements.

Key Responsibilities

• Support the development, implementation, and continuous refinement of the AEIS compliance program, ensuring alignment with regulatory requirements and business objectives.

• Lead compliance oversight activities across AEIS and more broadly Service, Operations, Trading, and Finance, to ensure consistent application of firm policies and regulatory expectations.

• Oversee risk assessments and ongoing surveillance programs related to trading activity, financial operations, operational processes, and service-related functions.

• Identify any potential compliance vulnerabilities and lead corrective action efforts, ensuring timely remediation and sustainable control enhancements.

• Serve as the primary compliance advisor to leaders in Service, Operations, Trading, and Finance.

• Partner with senior business leaders to operationalize compliance requirements, ensuring controls are efficient and embedded in day‑to‑day processes.

• Draft, review, and update compliance policies and procedures applicable to functional areas of responsibility.

• Support the SVP–CCO, AWM and other internal partners in preparing for regulatory exams, audits, and inquiries from the federal regulatory agencies, including the SEC and Federal Reserve, state regulatory agencies and self-regulatory organizations.

• Participate in meetings or responses involving regulators as needed, helping represent functional compliance areas professionally and accurately.

• Maintain strong working relationships with colleagues at all levels across the organization, including key partners within Risk, Audit, Finance, Technology, and Cybersecurity.

• Lead and develop a team of compliance professionals within areas of responsibility.

• Provide coaching, mentorship, and performance management while fostering a culture of accountability, collaboration, and continuous improvement.

• Partner with Government Affairs team to strategically advocate on proposed legislation and regulation. 

• Continuously evaluate and innovate the operations of the team, including leveraging intelligent automation, artificial intelligence, and data & analytics.

• Engage actively in industry trade groups, including serving on relevant committees, and networking with peers at other firms to both maintain knowledge of competitive environment and influence industry practice consistent with the firm’s strategic priorities.

• Visibly engage as a senior leader in the day-to-day culture of the GCO, and broader company, promoting an inclusive environment and talent practices that support development, advancement, and succession. 

Ideal Candidate

The ideal candidate is a strategic, forward‑thinking compliance leader with deep broker‑dealer and clearing expertise who brings strong organizational stewardship—balancing regulatory obligations with business priorities, deploying resources responsibly, and reinforcing a culture of integrity and accountability. They demonstrate leadership excellence through exceptional judgment, executive presence, and the ability to influence and align senior stakeholders, while building high‑performing teams through talent development, performance management, and effective leadership through change. This leader delivers operating effectiveness by translating complex regulatory and operational risks into clear, actionable priorities; strengthening controls through innovation and continuous improvement; and driving disciplined execution that improves outcomes for advisors, clients, and shareholders. They are known for maximizing relationships, building trust, and communicating with clarity across business units, staff groups, and geographies—serving as a credible partner to the business and a steady, regulator‑ready leader for the enterprise

Required Qualifications

• 15+ years of compliance, risk, audit, or regulatory experience within financial services, with concentration in clearing broker-dealer services compliance, wealth management, broker/dealer supervision, trading, or operational compliance.

• Prior leadership experience managing teams and influencing across functions.

• Strong knowledge of SEC, FINRA, MSRB, and NSCC regulations.

• Demonstrated track record and deep familiarity with broker/dealer operational, supervision, trading oversight, and operational compliance.

• Ability to analyze complex issues and develop practical, risk‑aligned solutions.

• Excellent communication, relationship‑building, and leadership skills.

• Experience with data analytics or compliance technology platforms preferred.

• Proven track record of effective people leadership including leading through change.

• Active Series 7 & Series 24 registrations required
  

Preferred Qualifications

• Active Series 63/65 or Series 66, preferred

• Bachelor’s degree required; Juris Doctorate preferred.
  

Base Pay Salary

The estimated base salary for this role is $ 215,000 - 250,000 per 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.