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Compliance Manager at Ameriprise Financial in Boston, MA

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Description

Job Description
Assist, oversee and influence business partners and senior business leaders on assigned subjects for multiple lines of business and/or larger scope to ensure that adequate compliance policies and procedures are developed and implemented.
Responsibilities
* Support Compliance Program for Asset Management Business - policies, procedures, oversight, coordination with LOB and other GCO groups.
* Design and perform methods for monitoring adherence to the compliance program and related regulatory requirements.
* Support compliance testing program for Mutual Funds, Advisor and Distribution owned processes.
* Provide compliance guidance to line of business partners designed to expand and enhance the compliance program.
* Support the identification and resolution of compliance escalated matters.
* Draft internal reports to senior management.

Required Qualifications
* Bachelor's Degree.
* 5-7 years of experience.
* Proven success in audit, risk and/or compliance functions. Strong knowledge of financial services industry with a concentration in front and middle office functions.
* Knowledge of NASD, SEC and other regulatory requirements.
* Strong written and verbal communication skills. Facilitation skills. Ability to prepare and/or present material for senior leaders, with leader support.
* Proficient in Microsoft Applications.
About Our Company
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.
We are an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other protected characteristic. The EEO is the Law poster is available here.
VEVRAA Federal Contractor
We request Priority Protected Veteran & Disabled Referrals for all of our locations within the state.

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