Job added in hotlist
Applied job
Contract job
90-day-old-job
part-time-job
Recruiter job
Employer job
Expanded search
Apply online not available
View more jobs in Boston, MA
View more jobs in Massachusetts
View Similar Jobs

Job Details

Compliance Manager

Company name
Ameriprise Financial, Inc.

Location
Boston, MA

Apply for this job






3 hit(s)  

Profile

About Ameriprise

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.

Job Description:

The compliance manager will ensure that marketing/advertising type communications created by the Asset Management business units satisfy regulatory and internal compliance policies and procedures; update and create compliance policies and procedures and content standards on advertising of various products and services; assist in adhoc compliance projects relating to analysis of new regulatory communications rules implementations.

Responsibilities:

• Review of broker-dealer and investment adviser created communications and marketing materials for compliance with applicable FINRA and SEC regulatory requirements and internal company compliance policies and procedures.

• Primary lines of business include Columbia Threadneedle Investments intermediary, institutional and product marketing.

• Establish and maintain relationships with business partners and foster/promote a culture of compliance.

• Stay up to date on applicable laws and regulations, analyze their effect on business practices and provide guidance to business partners.

• Work collaboratively with multiple business partners to gain a thorough understanding of our products and business.

• Proactively attend meetings and hold ad hoc discussions with business partners and other areas to understand new initiatives, offer compliance guidance, and determine the potential impact to communications and marketing materials.

• Oversee and influence business partners to ensure compliance policies and procedures are implemented.

• Contribute to the development/improvement, maintenance and implementation of business unit procedures and employee training materials, designed to help ensure that materials produced are compliant.

• Work on special projects, and perform other duties as assigned.

Required Qualifications:

• College degree.

• 2-3 years of financial service industry experience, preferably in a compliance or legal function; management experience preferred.

• 1 years’ experience conducting compliance/advertising review of investment company and investment advisor marketing materials.

• Specific knowledge of FINRA and regulations and interpretations relating to advertisements by broker-dealers and investment advisors.

• Exceptional verbal and written communication skills.

• Ability to independently and effectively manage time and prioritize work to meet multiple tight deadlines while paying strong attention to detail.

• Proven ability to think fast, respond quickly and learn quickly in a fast-paced environment

• Negotiation, decision making and problem solving skills.

• Enjoy working autonomously as well as with groups.

• Ability to effectively work with business partners and team members virtually and in person.

Preferred Qualifications:

• FINRA Series 7 or 6 preferred.

• Knowledge of GIPS standards.

• Ability to quickly learn new software and ability to create effective communications in Word, Excel, and PowerPoint.

Apply for this job at https://ameriprise.contacthr.com/59813501

View More Ameriprise Jobs

Company info

Ameriprise Financial, Inc.
Website : https://www.ameriprise.com

Company Profile
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.

Similar Jobs:
Chief Compliance Officer - Americas','BOS0010M','!*!Chief Compliance Officer, Americas Legal and Compliance Boston, MA, or New York, NY USA   The Mercer Americas Chief Compliance Officer is responsible for the company’s US, Cana...
Compliance Officer
location Boston, MA
\n\nJob Description\nPosition Summary: The Compliance Officer’s (CO) primarily responsibilities will be to identify and assess risk and compliance issues within the MMA businesses. The CO will then assist in the design of progra...
Chief Compliance Officer
location Boston, MA
Chief Compliance Officer, Americas Legal and Compliance Boston, MA, or New York, NY USA The Mercer Americas Chief Compliance Officer is responsible for the company\u2019s US, Canada and Latin America risk and compliance pro...
The number of jobs listed on EmploymentCrossing is great. I appreciate the efforts that are taken to ensure the accuracy and validity of all jobs.
Richard S - Baltimore, MD
  • All we do is research jobs.
  • Our team of researchers, programmers, and analysts find you jobs from over 1,000 career pages and other sources
  • Our members get more interviews and jobs than people who use "public job boards"
Shoot for the moon. Even if you miss it, you will land among the stars.
ComplianceCrossing - #1 Job Aggregation and Private Job-Opening Research Service — The Most Quality Jobs Anywhere
ComplianceCrossing is the first job consolidation service in the employment industry to seek to include every job that exists in the world.
Copyright © 2018 ComplianceCrossing - All rights reserved. 21