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Manager - Compliance

Ameriprise Financial, Inc.
Boston, USA
Closing date
Oct 21, 2022

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
We have an exciting opportunity for a Compliance Manager to join our team at Columbia Threadneedle Investments! The Compliance Manager will assist the ETF Business as compliance liaison and the CCO as the lead in compliance regarding product and operational oversight across new and current ETF offerings and other compliance initiatives as needed.


• Assist in development and administration of compliance oversight in the ETF product offering, including both index and actively managed strategies.
• Create, maintain, and update regulatory policies, procedures, guidelines, and training.
• Create and/or conduct oversight into the ETF lineup and identify/escalate issues to senior management.
• Stay informed of regulatory/industry changes and help create analyses and summary communications.
• Partner with other departments and service providers as needed to ensure controls are effectively designed.
• Continuously assess compliance risks and effectively communicate risks and suggestions for improvement to colleagues/department leaders and business unit leaders.
• Provide compliance guidance to line of business partners designed to expand and enhance the compliance program.
• Other duties as assigned.

Required Qualifications

• Bachelor's Degree
• 5-7 years of experience
• Proven success in operations and/or compliance functions. Strong knowledge of financial services industry with a concentration in front, middle or back office functions. Experience in ETF/Indexed product oversight or ETF/Indexed product operations preferred.
• Knowledge of SEC, Exchange Listing Standards, and other regulatory requirements.
• Strong written and verbal communication skills. Facilitation skills. Ability to prepare and/or present material for senior leaders, with leader support.
• Excellent analytical, problem-solving and relationship building skills.
• Ability to plan and balance multiple priorities.
• Proficient in Microsoft Applications

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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