Ameriprise Financial, Inc.
With the right company, life can be brilliant. At Ameriprise, we’re not just in the business of managing our clients’ finances — we also help our advisors and employees reach their true potential, too. Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work. You’ll also have plenty of opportunities to make your mark at the office and a difference in your community. So if you're talented, driven and want to work for a strong ethical company that cares, take the next step to create a brilliant career at Ameriprise Financial.
Assist, oversee and influence business partners on multiple lines of business and/or larger scope to ensure that adequate compliance policies and procedures are developed and implemented.
• Assist in review and response to regulatory exams and inquiries, engaging business partners in order to effectively respond to various agencies. • Investigate high-complexity issues, gather/research and track related information, serve as a “go to” person for team members related to the investigation, and make decisions and/or recommendations, as appropriate.• Assist, oversee and influence business partners to ensure that adequate compliance policies and procedures are developed and implemented.• Research applicable laws and regulations, analyze their effect on business practices, and work with Legal Department partners as needed to clarify requirements and address related issues. Identify problem policies related to the application of laws and regulations.• Maintain current knowledge of industry practices and developments .Escalate issues and maintain records as required or appropriate. Review with leader prior to taking action.• Serve as an expert resource on assigned subjects for multiple lines of business and/or larger scope, provide compliance support to assigned business lines, and act as a key resource and “go to” person for business partners.• Review internal and external business practices, analyze data, and work with partners in covered business lines to identify potential problems, close recognized gaps and support effective day-to-day compliance oversight.• Provide coaching and mentoring to direct reports, including annual performance reviews.
• Bachelor's Degree• 5 years of experience• Proven success in audit and/or compliance functions. Strong knowledge of financial services industry.• Knowledge of NASD, SEC and other regulatory requirements.• Strong written and verbal communication skills; facilitation skills. Ability to prepare and/or present material for senior leaders with leader support. License(s) Required:
• Series 7
• Series 24
Apply for this job at https://ameriprise.contacthr.com/59823694
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Ameriprise Financial, Inc.
Website : https://www.ameriprise.com
Ameriprise Financial is a global financial leader. Integrity has been a core value since we were founded by John Tappan in 1894. It's how, through panics, recessions, the Great Depression and the recent Great Recession, we've grown into a global financial leader. We've never taken a bailout. Never lost our focus on our clients. That's who we are. During trying economic times our strength, integrity, our breadth of services and personal relationships have made us America’s leader in financial planning.