Regulatory Affairs Manager

The RAU Manager has direct responsibility for appropriately managing and responding to regulatory requests from state and federal securities and insurance regulators as well as self-regulatory organizations.

Responsibilities

• Responsibilities include reviewing and evaluating requests for information from regulators, collaborating with internal stakeholders to gather, analyze and prepare for production responsive information, and interacting with regulators.
• Under the direction of Regulatory Affairs Unit counsel, this position will directly manage and respond to regulatory inquiries and exam requests from state and federal regulators and self-regulatory organizations.
• Perform detailed analysis of requests for information and review responsive information in an accurate and timely manner in order to meet regulatory expectations.
• This position will interact and partner with subject matter experts including legal and compliance colleagues, business partners, advisors, and field leadership across the enterprise related to regulatory inquiries.
• This position will draw on experience in the financial services industry and/or with regulatory requests to investigate discrete issues, conduct research, analyze related information, and make recommendations, as appropriate.

Required Qualifications

• 5 + years relevant experience in the financial services industry and/or with regulatory requests.
• 4 year college degree or equivalent experience.
• Excellent written and verbal communication skills and analytical skills.
• Ability to establish credibility and build strong collaborative relationships internally and externally.
• Energetic, service-oriented individual with a positive attitude.
• Strategic thinker, detail-oriented and meticulous with an aptitude for analysis and problem solving.
• Proficient with Microsoft suite, including Excel and SharePoint, with an innovative mindset and aptitude for learning evolving technology
• Ability to adapt to different cultures and styles of leadership

Preferred Qualifications

• Awareness of Ameriprise Financial products, services and technology/systems as well as supervisory structure preferred.
• JD

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.