Senior Compliance Manager

Senior Compliance Manager Location Hybrid work in Charlotte, NC : Manage and oversee the test planning and process for evaluating that corporate office written supervisory procedures are reasonably designed and executed to achieve compliance with regulatory requirements. Lead and support execution of team processes to manage the compliance program for Ameriprise and RiverSource entities that have requirements under FINRA and SEC rules and regulations.

Responsibilities:

• Manage all aspects of the testing process, including test planning/assignment and reviewing/approving reports.
• Conduct testing of procedures, controls, and supervision of business unit activities.
• Support the execution of team processes such as the Annual Review and Monthly Reporting.
• Research and follow Industry rules and activities in order to help incorporate effective controls for business policies and procedures.
• Provide training, coaching and mentoring to team members, compliance contacts, and business partners.
• Own and maintain team procedures.

Required Qualifications:

• Bachelor's degree or equivalent.
• 5-7 years of relevant experience.
• Series 7 and Series 24.
• Ability to lead and manage people and processes.
• Strong knowledge of the financial services industry activities and regulations, including broker-dealer functions, products and services.
• Excellent communication, presentation and organizational skills.
• Ability to plan and manage multiple competing priorities.
• Ability to work independently, meet deadlines and be a team player.

Preferred Qualifications:

• Prior experience leading people and processes.
• Prior experience testing broker-dealer controls or similar internal or external audit functions.
• High proficiency with Microsoft Word, Access and Excel.

About Our Company We're a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 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.

Base Pay Salary

The estimated base salary for this role is $104,900 - $141,600 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Legal Affairs

Line of Business

GCO General Counsel's Organization