We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses – Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.
We are searching for a Compliance Analyst within the General Counsels Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals in support of the Advice and Wealth Management (AWM) Compliance program. This role is responsible for facilitating the established Field Compliance Manual Intake process and supports the policy lifecycle. As well as maintaining the Corporate Compliance Manuals and other compliance resources in a timely and controlled manner. Success in this role requires strong organizational, communication, and analytical skills; attention to detail; and the ability to prioritize tasks, work independently and as a team.
Key Responsibilities
• Lead the Field Compliance Manual Intake process
• Serve as the primary point of contact for intake submitters, providing guidance on required information, supporting materials and next steps in the policy change process.
• Facilitate the annual review and policy change submissions of the Corporate Compliance Manuals
• Coordinate with Compliance SMEs and other stakeholders to support policy drafting and approval.
• Schedule and support-intake related meetings, capturing action items, alignment decisions and follow-up tasks.
• Assist in identifying potential downstream impacts, communication needs and dependencies associated with policy changes.
• Maintain accurate records of policy intake submissions, decisions, and supporting documentation.
• Assist with periodic reviews and reporting.
• Identify opportunities to improve intake workflows, tracking, and guidance.
• Support updates to intake-related procedures as processes evolve.
• Provide backup coverage for other policy intake/compliance operational activities as needed.
• Research applicable laws and regulations to analyze their effect on business practices
• Review, research and respond to compliance related inquiries from the field and corporate business partners.
• As business needs evolve, you will have opportunities to broaden your expertise and impact by supporting additional compliance SME areas.
Required Qualifications:
• Bachelors Degree
• 1-3 years of relevant experience
• Excellent organizational and time management skills
• Excellent written and interpersonal communication skills
• Able to prioritize tasks, work independently and be part of a team
• Flexibility to change as well as the ability and desire to influence change.
• Capacity to plan and manage multiple and competing priorities in a highly dynamic environment and to meet deadlines.
• Strong attention to detail.
• Demonstrated ability to apply both strategic and analytic techniques to provide business solutions and recommendations.
• Strong analytic skills.
• Highly proficient with Word and Excel.
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
About Ameriprise Financial
Ameriprise Financial combines a team-based atmosphere with an entrepreneurial spirit. We are an organization that emphasizes learning and growth, rewards you for your achievements and fosters a healthy work/life balance.
From our Minneapolis headquarters throughout our offices nationwide, you'll find we live our values every day — client focused, integrity always, excellence in all we do and respect for individuals and communities. We embrace diversity in our ideas, management, employee groups and clients.
Our Investment in You
We provide employees and branch advisors with competitive compensation and rewards. Our comprehensive benefits support your health and help you balance your career and personal life. Ameriprise invests in you through compensation, retirement savings, health benefits, wellness programs, work/life balance programs, veteran benefits, etc.
Your Career at Ameriprise
When you join our corporate team, you receive competitive compensation and incentives, opportunities to share in the company's success plus comprehensive benefits. Our employees also enjoy business resource networks, transportation assistance, community service opportunities, and an on-site cafeteria.
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Thrive in a Respectful, Supportive Environment
We have a diverse, values-based culture that embraces individual differences and encourages you to perform at your peak. We recognize your achievements and understand that work is one of the many important aspects in your life. While maintaining respect for that life balance, we help you advance your career and reach your goals.
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At Ameriprise Financial, we believe that learning is a lifelong endeavor. No matter where you are in your career path, we encourage all employees to take advantage of our professional development programs, offered in a variety of ways. Learn on your own, collaborate with a peer or work with an experienced colleague. Whatever your learning style, Ameriprise gives you the opportunity to reach your potential.
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Join a strong, ethical company that offers you what you need to build a rewarding career as a financial advisor: Culture & Commitment, Dedication & Support, and Opportunity & Rewards. Ameriprise is committed to helping you achieve the vision you have for your practice. With training in financial planning and the backing of a strong, stable FORTUNE 500® company, you’ll discover unparalleled culture, support, and opportunities to build a successful practice. That’s the Ameriprise Difference.
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Join an inclusive team to gain career-building skills and network in a supportive, high-energy, team-based atmosphere. Learn through real-world work and collaboration with leaders on projects that produce results through our Internship Program or gain valuable professional experience and build leadership skills through our full-time Leadership Development Program. You’ll also engage in team-building/social events, volunteer activities, executive leadership seminars, and networking opportunities.