The Senior Compliance Analyst is responsible for helping to ensure our advisors and the firm comply with applicable rules and regulations, policies, and procedures. This is a critical position as the effective and timely processing of complaints and advisor errors (investigations) is necessary in order to mitigate regulatory risk to the firm. The Senior Compliance Analyst is required to review client complaints and investigations and is also responsible for mandatory FINRA filings.
Key Responsibilities
- Process customer complaints and request cases, including contacting field members and clients as necessary.
- Ensure that customer complaints and requests are processed efficiently, accurately, and timely to meet regulatory requirements and expectations. This includes negotiating complex settlements.
- Collaborate with other team members regarding process efficiency ideas and partner with offshore team members on their cases.
- Handle delegated tasks from the team leader as needed
Required Qualifications
- Bachelor's degree or equivalent (4-years)
- Possess excellent interpersonal skills with the ability to establish relationships internally and externally
- Ability to plan and manage multiple and competing priorities in a highly dynamic environment, to meet deadlines and to influence change across the enterprise.
- Exceptional verbal and written communication skills
- Ability to collaborate, communicate, and influence across different levels of an organization.
- A firm understanding of the products and services offered by a broker dealer is required, plus demonstrated quantitative and qualitative analytical and problem-solving skills
- Strong attention to detail with the ability to think strategically.
- Enjoy working autonomously as well as with groups.
- FINRA Series 7 or the ability to obtain within 120 days.
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 $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.
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
What We Do
For over 30 years, Freedom Mortgage has helped millions of Americans achieve their dreams of homeownership and financial betterment. The wellbeing and improvement of our customers' lives and the communities in which they live fuels our ambition. We’re driven by boundless stamina and an unwavering focus on continuous collaboration, relentlessly seeking the right solutions for every customer and loan every day.
Today, we service nearly 1.5 million customers with over $300 billion in mortgage loan assets, and we consistently rank as one of the nation's top 10 lenders. We are over 13,500 team members strong, recognized as a Top Workplace in the U.S., and are continuing on our unprecedented growth trajectory.
Freedom Mortgage is an Equal Opportunity Employer committed to workforce diversity. Qualified applicants will receive consideration without regard to age, race, color, religion, gender, sexual orientation, disability, or national origin. Local applicants are encouraged to apply. Employment contingent upon successful completion of a background investigation. Smoke-free workplace. Drug-free work environment. Excellent benefits package including medical, dental, vision, and 401(k). All resumes are held in confidence. Only candidates whose profiles closely match requirements will be contacted during this search.
Come #SoarWithUs and be a part of the Freedom family!
Freedom Mortgage Corporation
951 Yamato Road, Suite 175
Boca Raton, FL 33431
Lender NMLS ID: 2767
www.nmlsconsumeraccess.org
