Compliance Manager, Field Office Inspections - Remote Compliance Manager, Field Office Inspections -  …

Ameriprise Financial, Inc.
in Minneapolis, MN, United States
Permanent, Full time
Be the first to apply
Ameriprise Financial, Inc.
in Minneapolis, MN, United States
Permanent, Full time
Be the first to apply
Compliance Manager, Field Office Inspections - Remote
Job Description

Assist, oversee, and influence business partners on multiple lines of business and/or larger scope. Ensure that adequate compliance policies and procedures are developed and implemented. If you are not located close to a physical office, remote work is considered for qualified candidates.


• Conduct required Branch Office and Office of Supervisory Jurisdiction inspections, including Ameriprise Advisor Center, Centralized Supervision Unit and other applicable locations as determined by the Firm
• Complete independent research and analyze various information and reports prior to, or during an exam, to identify potentially problematic behavior, violations, red flags, trends and potential areas of risk; using the information gathered to complete advisor reviews
• Conduct initial interviews and exit interviews with Registered Principals, advisors, and staff.
• Review and report on the effectiveness of field compliance supervision, including identification of potential advisor sales practice violations.
• Provide education to field members relating to subject matter which include, but are not limited to: recommending action steps to improve compliance supervisory tasks based on company and regulatory policy and procedure, hot regulatory topics, firm trends, and best practices, etc.
• Escalate issues as appropriate related to Registered Principal's supervisory practices and/or advisor's practices.
• Write, deliver, and follow up with RPs on Commitment to Action plan for the resolution of identified findings.
• Communicate and discuss results to all levels of field leadership. Serve as a point of contact for inspections.
• Maintain current knowledge of industry and firm practices, developments and risks.
• Partner with leadership and reach out to other teams (within and outside of compliance) to identify/understand risks, share results, escalate issues, and clarify policies and procedures.
• Work with other examiners as needed to ensure consistency of process.
• Identify process and procedure improvement opportunities and work collaboratively with colleagues/leadership to implement effective solutions.
• Engage in day to day operations of the Field Office Inspection team and/or department wide projects/initiatives.

Required Qualifications

• Bachelor's Degree or equivalent.
• 5+ years of relevant work experience.
• Series 7 or ability to obtain within 90 days
• Series 9/10 or 24 required, or ability to obtain within 90 days
• Knowledge of FINRA, SEC and other regulatory rules/requirements.
• Knowledge of risks pertinent to industry and firm, and ability to strategically focus branch office/OSJ exams depending on relevant risks.
• Excellent analytical skills, including the ability to evaluate a broad scope of data to define potential risks.
• Demonstrated investigative skills, including the ability to follow an instinct while retaining an overall objective viewpoint.
• Demonstrated ability to interview various levels of leadership.
• Demonstrated ability to formulate practical solutions to technical issues.
• Excellent organization skills, ability to manage multiple priorities, ability to meet time sensitive deadlines.
• Demonstrated leadership competency, including the ability to build relationships and collaborate with other groups in the corporate office as well as the field.
• Excellent communication skills, both written and verbal. Proven ability to communicate with employees at all levels of the firm. Ability to tactfully craft difficult messages.
• Demonstrated ability to take initiative and operate independently, while able to work effectively in a team environment
• Travel: Approximately 50%

Preferred Qualifications

• Experience in an audit function, familiarity with audit methodologies.
• Leadership experience.

About Our Company

Millions of people around the world rely on Columbia Threadneedle Investments to manage their money. We're intentionally built to help our clients succeed, backed by a global team of 2,000 people including more than 450 investment professionals sharing global perspectives across all major asset classes and markets. At Columbia Threadneedle, you'll find the promise we make to our clients is the same one we make to our employees: Your success is our priority. In addition to our competitive total rewards package, employees stay with us because of our culture and commitment to their development. And, backed by the strength of our parent company, Ameriprise Financial, we are committed to providing you with the tools, resources, recognition and rewards to help you shape the career you want.

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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