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Job Details

Compliance Manager

Company name
Ameriprise Financial, Inc.

Boston, MA

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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.


• 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.

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Company info

Ameriprise Financial, Inc.
Website :

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.

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