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Sr. Compliance Manager

Employer
Ameriprise Financial, Inc.
Location
Boston, USA
Salary
Competitive
Closing date
Oct 28, 2023

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Job Function
Accounting/Audit/Tax
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
We have an outstanding opportunity at Ameriprise as a Sr. Compliance Manager. The Sr. Compliance Manager provides a core review function for the Compliance Communication Review Group ensuring that investment adviser/BD communications satisfy regulatory and corporate requirements; support marketing efforts; foster and promote a culture of compliance; and provide adhoc and timely guidance to marketing relating to advertising rules and regulations for Columbia Threadneedle Investments. Come apply today!

Key Responsibilities
  • Review investment adviser and broker dealer communications and marketing materials for compliance with applicable regulatory requirements (SEC, FINRA etc.) and internal compliance policies with minimal supervision.
  • Serve as a subject matter expert on rules and regulations and provide general compliance support to Intermediary, the Institutional sales and service businesses in the domestic and international markets, global marketing and related support partners, including the RFP team, Private funds sales team and certain aspects of Client Reporting, and Operations.
  • Be well versed and stay informed on US regulatory/industry changes (for example - SEC and FINRA and NFA Ad rules) and develop impact analyses and summary communications as necessary.
  • Continuously assess compliance risks and effectively communicate risks and suggestions for improvement to department leaders and business unit leaders, as applicable.
  • Work collaboratively with multiple business partners to gain a thorough understanding of our asset management products and business.
  • Attend meetings and hold ad hoc discussions with marketing and other areas to understand new initiatives, offer compliance guidance, and determine the potential impact to communications and marketing materials.
  • Oversee the development/improvement, maintenance and implementation of business unit procedures and employee training materials, designed to help ensure that materials produced are compliant.
  • Manage and Train one of more junior reviewers.
  • Work on special projects, and performs other duties as assigned.
Required Qualifications
  • Bachelors degree or equivalent (4-years)
  • 7-10 years of relevant experience
  • Proven success in compliance functions, specifically marketing and advertising review with respect to marketing and advertising.
  • Knowledge of FINRA, SEC and other regulatory requirements.
  • Strong communication (written and verbal) and facilitation skills.
  • Ability to prepare and/or present material for senior leaders, with leader support.
Preferred Qualifications
  • Series 7 and 24
  • Law degree or legal background experience
About Our Company
We're a diversified financial services leader with more than $1 trillion in assets under management and administration. Our team of 20,000 people in more than 20 countries advise, manage and protect the assets and income of more than 2 million individual, small business and institutional clients. We are a long-standing 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 Services, 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

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