Compliance Manager/Officer

Employer
Ameriprise Financial, Inc.
Location
Boston, USA
Salary
Competitive
Posted
15 Nov 2022
Closes
26 Nov 2022
Ref
17707790
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
We are searching for an Compliance Manager/Officer within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support Global Asset Management Compliance program for Columbia Threadneedle Investments through performance of ongoing compliance monitoring, oversight, and advisory activities. 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. Columbia Threadneedle 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!

Responsibilities

  • Conduct testing of CTI business functions for compliance with applicable laws and regulations. Perform standalone reviews and/or collaborate with non-US team members to conduct global reviews.
  • Assist, coordinate, and influence business partners to ensure that adequate compliance policies and procedures are developed and implemented.
  • Research applicable laws and regulations, analyze their effect on business practices, and work with Legal Department partners, as needed, to clarify requirements and address related issues. Identify problem policies related to the application of laws and regulations.
  • Maintain current knowledge of industry practices and developments. Raise issues and maintain records, as required or appropriate.
  • Serve as an expert resource on assigned subjects for multiple lines of business and/or larger scope, provide compliance support to assigned business lines, and act as a key resource and "go to" person for business partners.
  • Review internal and external business practices, analyze data, and work with partners in covered business lines to identify potential problems. Close recognized gaps and support effective day-to-day compliance oversight.


Required Qualifications

  • Bachelors degree or equivalent (4-years)
  • 5-7 years of relevant experience
  • Strong knowledge of financial services industry.
  • Knowledge of SEC, CFTC, State, and other regulatory requirements for investment advisers, registered investment companies, transfer agents and broker/dealers.
  • Strong written and verbal communication skills.
  • Facilitation skills.
  • Ability to prepare and/or present material for senior leaders, with leader support.
  • Intermediate-level skills in Microsoft Word, Excel, and PowerPoint.


Preferred Qualifications

  • Prior experience with middle/back office operations of investment companies and investment advisers.
  • Past experience working with non US investment products (e.g., OEICs, SICAVs)
  • Experience in developing process flows/diagrams. Working knowledge of Microsoft Visio.
  • Microsoft Access skills.


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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