Compliance Manager

Ameriprise Financial, Inc.
Boston, USA
22 May 2022
21 Jun 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
The compliance officer will ensure that communications satisfy regulatory and corporate requirements; support marketing and communication efforts; foster and promote a culture of compliance; and provide guidance to marketing and communications relating to advertising rules and regulations.


• Review of communications and marketing materials for compliance concerns and issued based on applicable regulatory requirements and internal compliance policies.
• Supporting Columbia Threadneedle Investments intermediary, institutional and product marketing business units.
• Establish and maintain relationships with business partners and foster/promote a culture of compliance.
• Stay up to date on applicable laws and regulations, analyze their effect on business practices and provide guidance to business partners.
• Work collaboratively with multiple business partners to gain a thorough understanding of our products and business.
• Proactively attend meetings and hold ad hoc discussions with business partners and other areas to understand new initiatives, offer compliance guidance, and determine the potential impact to communications and marketing materials. Oversee and influence business partners to ensure compliance policies and procedures are implemented.
• Contribute to the development/improvement, maintenance and implementation of compliance policy procedures, business unit procedures and employee training materials, designed to help ensure that materials produced are compliant.
• Work on special projects, and performs other duties as assigned.

Required Qualifications

• College degree
• 2-3 years of financial service industry experience, preferably in a compliance or legal function; management experience preferred
• 1+ years' experience conducting compliance/advertising review of broker dealer and/or investment advisor marketing materials
• Specific knowledge of FINRA and SEC regulations and interpretations relating to advertisements by broker-dealers and/or investment advisors
• Exceptional verbal and written communication skills
• Ability to independently and effectively manage time, prioritize work to meet multiple tight deadlines while paying strong attention to detail
• Proven ability to think fast, summarized complex thoughts, learn and respond quickly in a fast-paced environment
• Negotiation, decision making and problem-solving skills
• Enjoy working autonomously as well as with groups
• Ability to effectively work with business partners and team members virtually and in person

Preferred Qualifications

• FINRA Series 7, 6 and 24 preferred

About Our Company

At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.

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.

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