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Ameriprise Financial, Inc

Regulatory Affairs Analyst

Ameriprise Financial, Inc. Minneapolis, United States
Posted 10 days ago Permanent Competitive
Regulatory Affairs Analyst
We have an exciting opportunity at Ameriprise as a Regulatory Affairs Analyst! This position is part of a team that provides day-to-day operational support to the Regulatory Affairs team in managing regulatory exams, inquiries and internal investigations. This includes matter intake, production fulfillment, logistical support, records management, metrics reporting and maintenance of shared tools. Position will also conduct matter-specific analysis and provide substantive response management over time. Come apply today!

Responsibilities

  • Matter intake, which involves logging, analyzing and distributing regulatory requests and investigations to managers.
  • Production support, which involves locating, collecting, analyzing and/or producing requested documents and information.
  • Logistical support, which includes acquiring security clearance for examiners and preparing relevant tracking materials; and
  • Other team-related operational support, which includes the maintenance of shared tools and resources that drive standard processes, the management of statistical reports related to metrics and trends, and the management of certain records in accordance with retention policies and procedures.
  • Over time, this position will also support:
    • Matter-specific analysis, which includes researching historical response information and trends, or supporting discrete pieces of larger regulatory requests; and
    • substantive response management, which includes collaborating with GCO colleagues and business partners to acquire information responsive to specific regulatory requests.


Required Qualifications

  • Ability to effectively plan and manage multiple and competing priorities in a highly dynamic environment
  • Excellent written and verbal communication skills.
  • Excellent interpersonal skills: ability to establish credibility and build strong collaborative relationships internally and externally
  • Upbeat, service-oriented individual with a positive attitude.
  • Strategic thinker, thorough and meticulous with an interest in analysis, investigation and problem solving.
  • Self-motivated with the ability to achieve results as an individual contributor and working in a team-based environment.
  • 4-year college degree or equivalent experience.
  • Interest in learning evolving technology
  • Ability to adapt to different cultures and styles
  • Innovative mentality


Preferred Qualifications

  • Familiarity with insurance and financial services industry, Broker/Dealer regulatory requirements, Insurance regulatory requirements, compliance policies and procedures
  • An awareness of Ameriprise Financial products, services and technology/systems as well as supervisory structure preferred.
  • 1-3 years of relevant work experience 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.
Job ID  27978BR
ABOUT COMPANY
Minneapolis, United States
Private Banking / Wealth Management
For 125 years, Ameriprise has remained true to our vision of putting our clients' interests first. We are passionate about helping you live the full a...
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