Compliance Manager
| Company | Ameriprise Financial |
|---|---|
| Location | Boston, MA, USA, Charlotte, NC, USA, Minneapolis, MN, USA |
| Salary | $77100 – $133100 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior |
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.