Senior Compliance Manager

The Senior Compliance Manager 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 Manager’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:

• Establish and maintain relationships with business partners.  Provide guidance 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.
• 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 banking compliance requirements. 
• Support the execution of team processes, including ongoing and annual reviews and periodic reporting to internal governance committees, boards and clients.
• Own and maintain assigned policies and procedures. 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 to evolve and enhance policies and procedures in response to changes in the business or regulations.

Required Qualifications:

• Bachelor’s degree or equivalent years of experience.
• 5-7 years of relevant experience.
• Strong knowledge of financial services industry and regulations, particularly Investment Advisers Act of 1940 and underlying rules.
• Ability to manage people and processes.
• Excellent communication, presentation and organizational skills.
• Ability to plan and manage multiple competing priorities.
• Ability to work independently, meet deadlines, and be a team player.

Preferred Qualifications:

• Knowledge of investment advisory business and investment products (e.g., private funds; mutual funds and ETFs).
• Prior experience managing people and processes.

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 $104,900 - $141,600 / 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 timeExemptLegal AffairsGCO General Counsel's Organization