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.
Job Description
Ameriprise Financial is looking to add a Compliance Manager to the team! The Complaint Resolution team is a specialized function responsible for managing customer complaints and select advisor error cases across the full range of products offered by the firm. The role is accountable for the timely and effective resolution of complaints and advisor error requests, with a strong focus on risk mitigation and regulatory compliance. The Compliance Manager evaluates and recommends outcomes to ensure they are appropriate, well-supported, and aligned with firm standards; including determining when FINRA reporting obligations apply. The role also requires applying a commercial mindset to balance regulatory requirements with business impact, ensuring practical and client-focused solutions. In addition, the Compliance Manager serves as a subject matter expert for the team, partners with offshore resources to support efficient case management, and collaborates with key business stakeholders.
Key Responsibilities
• Research and respond to customer complaints and advisor error request cases, including contacting clients and field members as necessary.
• Partner with internal business areas such as RiverSource, Legal and CSU to assist in the research of customer complaints and errors.
• Ensure that cases are processed efficiently, accurately and timely to meet regulatory requirements and expectations.
• Negotiate complex client settlements and identify alternative remediations paths for advisor errors when standard channels are unavailable.
• Provide coaching to team members in the case and ad hoc review process including with offshore team members on their cases.
• Handle delegated tasks and project work from team leaders as needed.
Required Qualifications
• Four-year degree or comparable equivalent financial services experience.
• 5+ years of relevant experience.
• Series 7 and Series 9/10 or Series 24.
• Ability to communicate effectively with advisors, field RPs, and clients both verbally and in writing.
• Strong judgement when making sound, timely independent decisions on complex matters.
• Excellent interpersonal skills with the ability to establish relationships internally and externally.
• Flexibility to change as well as the ability and desire to influence change.
• Firm understanding of the products and services offered by a broker dealer, as well as supervisory responsibilities of each.
• Ability to utilize multiple technology platforms.
Preferred Qualifications
• Prior experience with customer complaints or supervision.
In-Office Collaboration
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.
Visa Sponsorship
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
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.
Search Open Positions and Apply
Learn More About Joining Ameriprise
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.
Learn More About Diversity and Inclusion at Ameriprise
Build a Career that Matters to You
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.
Being an Ameriprise Advisor
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.
Learn More About Ameriprise Advisor Support
Opportunities for Students
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.