Sr Compliance Analyst
Ensure our advisors and the firm comply with applicable rules and regulations, policies, and procedures. Effective and timely processing of complaints and advisor errors, as necessary in order to mitigate regulatory risk to the firm Responsibilities
- End-to-end processing of customer complaints and investigations. This also includes contacting field members and clients as necessary.
- Work in partnership with offshore complaint team on partnered cases, which includes executing key steps in the process, reviewing correspondence, and evaluation of recommended actions in order to drive the case to conclusion.
- Ensure that customer complaints and investigations cases are processed efficiently, accurately and timely to meet regulatory requirements and expectations.
- Negotiating and processing client settlements as needed. Recommend solutions, as appropriate.
- Ensure mandatory FINRA filing are processed in a timely manner.
- Performs other duties as assigned.
- Demonstrated quantitative and qualitative analytical and problem-solving skills.
- Strong attention to detail.
- 4-year college degree, or equivalent experience.
- Series 7
- 3-5 years financial industry experience.
About Our Company
- Working knowledge of Ameriprise products, services, and processes. Energetic, service-oriented individual with a positive attitude. Excellent interpersonal skills with the ability to establish relationships internally and externally. Excellent written and verbal communication skills. Ability to plan and manage multiple and competing priorities in a highly dynamic environment, to meet deadlines and to influence change. Firm understanding of the products and services offered by a broker dealer, as well as supervisory responsibilities.
With the right company, life can Be Brilliant®. 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 and we can Be Brilliant® together.
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.