Compliance Manager

Key Responsibilities

Act as a subject matter expert in Broker-Dealer related sales and distribution rules and FINRA related regulations and provide general compliance support to the Intermediary and Institutional Distribution team.

Establish and maintain relationships and foster/promote a culture of compliance, with business partners and within AMC Compliance, including Licensing and Registration, Field Office Inspection, the Finance Team, Intermediary. Work collaboratively to gain/maintain a thorough understanding of products, services and business models.

Assist with compliance risk assessments and effectively communicate those risks and suggestions for improvement to department leaders and business unit leaders, as applicable.

Stay up to date on regulatory (SEC, FINRA, CFTC/NFA and various important state specific legislature) and industry change and assist in the development of impact assessment and creating summary communication for applicable business partners.

Manage Intermediary Sales and Distribution related policies and procedures.

Provide review and guidance to ensure marketing and communications created by Columbia Threadneedle Investments intermediary, institutional and product marketing meet applicable regulatory and internal compliance policies and procedures. Specifically, ensure communications are fair, balanced, complete and do not omit pertinent information and comply with company policies, guidelines, content and disclosure standards. Designate FINRA filing needs for each file reviewed and subsequently work with submitter and/or content owner to resolve any FINRA comments and document action taken.

Escalate, as needed, to other subject matter experts and/or review groups. Consult with appropriate Legal or Compliance SME when there are questions about the interpretation of regulations or internal policies to support consistency and manage risk.

Required Qualifications

Bachelor's degree or equivalent (4-years)

5-7 years of relevant work experience.

Strong knowledge of financial services industry and compliance functions.

Ability to build and develop working knowledge of applicable Industry regulations.

Experience in providing compliance support to sales and distribution areas Exceptional verbal and written communication skills.

Ability to independently and effectively manage time and prioritize work to meet multiple tight deadlines while paying strong attention to detail.

Ability to collaborate, communicate, and influence across different levels of an organization.

Ability to maintain productive working relationships with business colleagues.

Proven ability to think fast, respond quickly and learn quickly in a fast-paced environment.

Negotiation, decision making and problem-solving skills.

Preferred Qualifications

FINRA Series 7 and 24 or 6 and 26 preferred

Knowledge of different financial products and services

Knowledge of compliance/advertising review for broker dealer and/or registered investment adviser marketing materials

Ability to quickly learn new software and create effective communications in Word, Excel, and PowerPoint

Extensive experience working with FINRA analysts and FINRA exams.

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).

Base Pay Salary

The estimated base salary for this role is $78,700 - $138,200/ 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.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Legal Affairs

Line of Business

GCO General Counsel's Organization

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

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.