Key Responsibilities
Responsible for the effective and timely processing of complaints and advisor error requests to mitigate regulatory risk to the firm. The Compliance Manager is required to ensure recommended outcomes to client complaints and errors are appropriate, and thatFINRA filings are made when applicable. A Compliance Manager is expected to be a resource for the team, to partner with offshore team members on case handling, and to provide support to external business partners.
- Research and respond tocustomer complaints and advisor errorrequest cases, including contacting field members and clients as necessary.
- Partner with internal business areas such as RiverSource, Legal and CSU to assist in the research of customer complaints and advisor errors.
- Ensure that casesare processed efficiently, accurately, and timely to meet regulatory requirements and expectations. This includes negotiating complex client settlements.
- Coach other team members in the case and ad hoc review process includingpartnering with offshore team members on their cases.
- Handle delegated tasks and project workfrom the team leader as needed.
Required Qualifications
- Bachelor's degree or equivalent (4-years).
- 3-5 years of relevant experience.
- Series 7 and Series 9/10 or Series 24 required.
- Strong knowledge of financial services industry.
- Ability to communicate effectively with advisors, field RPs, and clients both verbally and in writing.
- Use strong judgment 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 and to think strategically.
- Ability to utilize multiple technology platforms with quantitative and qualitative analytical and problem-solving skills.
About Our Company
We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of 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.
Base Pay Salary
The estimated base salary for this role is $85,700 - $115,000 a 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.
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Legal AffairsLine of Business
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