Senior Compliance Analyst

We have an exciting opportunity as a Senior Compliance Analyst who will join and be supported by a large global asset management compliance organization which is part of the Ameriprise Financial General Counsel’s Organization (“GCO”). The Senior Compliance Analyst’s responsibilities include leading and supporting execution of a wide-range of team processes tied the effective management of a large SEC-registered investment adviser’s compliance program.

Key Responsibilities:

• Support reviews of Policies and Procedures to ensure compliance with applicable regulatory requirements (e.g., SEC, etc.), industry standards and internal company policies.
• Assist in oversight review of Daily ETF Custom Baskets for ETFs and 6C-11 requirements, as well as oversight of Institutional Tasks, ERISA requirements, SMA accounts, and Annual Custody Memo.
• Establish and maintain relationships with business partners. Assist on compliance matters tied to new investment products and initiatives to ensure they incorporate effective controls and are aligned with compliance requirements.  Research and appropriately escalate compliance-related concerns. Assist business partners in assessing and remediating compliance issues in a timely manner relating to applicable rules and regulations on BAU, Monthly, Quarterly and Annual deliverables, as well as new initiatives, and products.
• Develop a keen sense for assisting in continuously assessing and communicating compliance risks with respect to oversight, suggestions for improvements and create consensus among department leaders and business unit leaders, as applicable.
• Build knowledge of and stay up to date on regulatory and industry changes and assist in the development of impact assessment and summary communication for his/her business partners.
• Ensure adherence to relevant regulatory requirements and internal policies by monitoring activities. Identify opportunities to enhance the compliance program and drive solutions to implement. 
• Work with business partners on enterprise-wide and cross-functional compliance projects and ongoing initiatives and requirements.   
• Assist with various projects and initiatives across investment compliance team, and continuous process improvements.
• Support the execution of team processes, including ongoing and annual reviews and periodic reporting to internal governance committees, boards and clients.
• Stay up to date on regulatory and industry developments relevant to SEC and CFTC-registered investment adviser and collaborate with business partners, and compliance and legal colleagues.
• Assist with the ongoing maintenance of procedures, policies and related controls.

Required Qualifications:

• Bachelor’s degree or equivalent.
• 2-3 years of relevant experience (with at least one year of Compliance experience preferred).
• Knowledge of financial services industry and regulations, particularly Investment Advisers Act of 1940 and underlying rules.
• Excellent communication, presentation and organizational skills.
• Ability to plan and manage multiple competing priorities.
• Ability to work independently and as a team, exercise flexibility, initiative, good judgment, and discretion.

Preferred Qualifications:

• Knowledge of investment advisory business and investment products (e.g., private funds; mutual funds and ETFs).
• Ability to quickly learn new software and create effective communications in Word, Excel, and PowerPoint.
• Ability to improve processes and create efficiencies to enhance effective oversight and driven results.

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.

Full time

Exempt

Legal Affairs

GCO General Counsel's Organization