Compliance Manager
Company: Ameriprise
Location: Charlotte
Posted on: June 26, 2025
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Job Description:
We are searching for a Compliance Manager/Officer within the
General Counsels Organization team, who will manage aspects of, and
complete, document management activities for supervisory procedures
in CompliSource. Conduct testing of written supervisory procedures
(WSP, IA P&P, BUSP, etc.) to evaluate if they are reasonably
designed and executed to achieve compliance with regulatory
requirements. Support the execution of team processes such as the
Annual Review, document management (CompliSource) and Monthly
Reporting. Provide training, coaching and mentoring to compliance
and business partners. Responsibilities • Administer individual and
team document management activities for supervisory procedures in
CompliSource. • Conduct testing of procedures, controls, and
supervision of business unit activities. • Support the execution of
team processes such as the Annual Review and Monthly Reporting. •
Research and follow Industry rules and activities in order to help
incorporate effective controls for business policies and
procedures. • Provide training, coaching and mentoring to team
members and business partners. • Maintain current knowledge of
industry practices and developments. Required Qualifications •
Bachelor’s degree or equivalent experience. • 5-7 years of
experience. • Series 7 and Series 24. • Strong knowledge of the
financial services industry activities and regulations, including
broker-dealer functions, products and services. • 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 • Prior operational experience in client service or
clearing functions at a broker-dealer or insurance company. • Prior
experience testing broker-dealer controls or similar internal or
external audit functions. • High proficiency with Microsoft Word,
Access and Excel. • Document management skills. We’re a diversified
financial services leader with more than $1.5 trillion in assets
under management, administration and advisement as of 2024. With
our team of more than 20,000 people in 20 countries, we advise,
manage and protect assets and income of more than 3.5 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.
Keywords: Ameriprise, Huntersville , Compliance Manager, Accounting, Auditing , Charlotte, North Carolina
