Senior Compliance Analyst

This is a six month only position in the Supervisory Controls Unit, conducting testing of written supervisory procedures (WSP, IA P&P, BUSP, etc.) to ensure procedures are reasonably designed and executed to achieve compliance with regulatory requirements. It will also provide ad-hoc Supervisory Controls Unit program support.

Responsibilities

• Conduct testing of broker-dealer written supervisory procedures (WSPs), investment adviser policies and procedures (IAP&Ps), 38a-1 supervisory procedures (BUSPs), and other supervisory controls to support regulatory obligations by researching rules and regulations applicable to business activities to identify potential risks to the firm. Test and verify that supervisory procedures are reasonably designed and executed to achieve compliance with applicable securities laws and firm policy.
• Assist business partners in developing adequate compliance policies and procedures.
• Maintain current knowledge of industry practices and developments.
• Complete basic data analysis—conducting general reviews of internal business practices, as needed, to identify potential problems and mitigate risk.
• Contribute and edit supervisory documents in the CompliSource tool.

Required Qualifications

• Prior SCU team experience testing broker-dealer controls.
• Strong understanding of, and experience with, the AWM Compliance Program.
• Experience with SCU communication tools and resources. Must be able to explain in a clear and effective manner – both verbally and in writing - the testing results to persons at all levels in the organization clients.
• 3+ years of SCU testing experience.
• FINRA Series 7.

Preferred Qualifications

• Prior operational experience in client service or clearing functions at Ameriprise.
• Ability and willingness to assess processes and functions and raise opportunities to leaders to improve by leading up.
• Advanced Microsoft Office Excel, Access, and Word skills.

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.

The estimated base salary for this role is $69,900 - $94,400 / 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

Exempt

Legal Affairs

GCO General Counsel's Organization