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Compliance Manager

Compliance Manager

CompanyAmeriprise Financial
LocationBoston, MA, USA, Charlotte, NC, USA, Minneapolis, MN, USA
Salary$77100 – $133100
TypeFull-Time
DegreesBachelor’s
Experience LevelSenior

Requirements

  • Bachelor’s degree or equivalent experience.
  • 5-7 years of experience.
  • Series 7 and Series 24.
  • Strong knowledge of the financial services industry activities and regulations, including broker-dealer functions, products and services.
  • Excellent communication, presentation and organizational skills.
  • Ability to plan and manage multiple competing priorities.
  • Ability to work independently, meet deadlines and be a team player.

Responsibilities

  • Administer individual and team document management activities for supervisory procedures in CompliSource.
  • Conduct testing of procedures, controls, and supervision of business unit activities.
  • Support the execution of team processes such as the Annual Review and Monthly Reporting.
  • Research and follow Industry rules and activities in order to help incorporate effective controls for business policies and procedures.
  • Provide training, coaching and mentoring to team members and business partners.
  • Maintain current knowledge of industry practices and developments.

Preferred Qualifications

  • Prior operational experience in client service or clearing functions at a broker-dealer or insurance company.
  • Prior experience testing broker-dealer controls or similar internal or external audit functions.
  • High proficiency with Microsoft Word, Access and Excel.
  • Document management skills.