Senior Compliance Analyst

4 days ago

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Ameriprise Financial Services, LLC

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Financial Planning and Investment Services

5001 - 10000

Description

• Conduct Branch and Non-branch Office FINRA required inspections, including Centralized Supervision Unit, Ameriprise Advisor Center, RiverSource and Columbia locations. • Analyze prepared information and complete independent research to identify potentially problematic behavior, violations, red flags, trends and potential areas of risk. • Conduct initial interviews and exit interviews with advisors and staff. • Review and report on the effectiveness of field compliance supervision, including identification of potential advisor sales practice violations. • Maintain current knowledge of industry and firm practices, developments, and risks. • Partner with leadership and reach out to other teams (within and outside of compliance) to identify/understand risks, share results, escalate issues, and clarify policies and procedures. • Identify and escalate to leadership new risk trends. • Identify process and procedure improvement opportunities and work collaboratively with colleagues/leadership to implement effective solutions. • Communicate results to all levels of leadership and work collaboratively to resolve appeals. • Work with other examiners as needed to ensure consistency of process. • Educate field members about regulatory hot topics, firm trends, and best practices. • Participate in projects, initiatives, etc. as requested.

Requirements

• 3-5 years relevant experience. • Bachelor's Degree or equivalent (4 years). • Knowledge of FINRA, SEC and other regulatory rules/requirements. • Knowledge of risks pertinent to industry and firm, and ability to strategically focus branch office exams depending on relevant risks. • Excellent analytical skills, including the ability to evaluate a broad scope of data to define potential risks. • Demonstrated investigative skills, including the ability to follow an instinct while retaining an overall objective viewpoint. • Demonstrated ability to formulate practical solutions to technical issues. • Demonstrated leadership competency, including the ability to build relationships and collaborate with other groups in the corporate office as well as the field. • Excellent communication skills, both written and verbal. • Proven ability to communicate with employees at all levels of the firm. • Ability to tactfully craft difficult messages. • Series 7 required, or ability to obtain within 90 days post hire. • Approximately 0-10% travel.

Benefits

• Competitive and comprehensive benefits program that support all aspects of your health and well-being.