Compliance Analyst

Ameriprise Financial Services, LLC is a diversified financial services leader with a strong focus on client service and asset management. They are seeking a Compliance Analyst to support the Advice and Wealth Management Compliance program by managing the policy lifecycle and facilitating compliance processes.

Responsibilities

• Lead the Field Compliance Manual Intake process
• Serve as the primary point of contact for intake submitters, providing guidance on required information, supporting materials and next steps in the policy change process
• Facilitate the annual review and policy change submissions of the Corporate Compliance Manuals
• Coordinate with Compliance SMEs and other stakeholders to support policy drafting and approval
• Schedule and support-intake related meetings, capturing action items, alignment decisions and follow-up tasks
• Assist in identifying potential downstream impacts, communication needs and dependencies associated with policy changes
• Maintain accurate records of policy intake submissions, decisions, and supporting documentation
• Assist with periodic reviews and reporting
• Identify opportunities to improve intake workflows, tracking, and guidance
• Support updates to intake-related procedures as processes evolve
• Provide backup coverage for other policy intake/compliance operational activities as needed
• Research applicable laws and regulations to analyze their effect on business practices
• Review, research and respond to compliance related inquiries from the field and corporate business partners
• As business needs evolve, you will have opportunities to broaden your expertise and impact by supporting additional compliance SME areas

Skills

• Bachelor's Degree
• 1-3 years of relevant experience
• Excellent organizational and time management skills
• Excellent written and interpersonal communication skills
• Able to prioritize tasks, work independently and be part of a team
• Flexibility to change as well as the ability and desire to influence change
• Capacity to plan and manage multiple and competing priorities in a highly dynamic environment and to meet deadlines
• Strong attention to detail
• Demonstrated ability to apply both strategic and analytic techniques to provide business solutions and recommendations
• Strong analytic skills
• Highly proficient with Word and Excel

Benefits

• Vacation time
• Sick time
• 401(k)
• Health, dental and life insurances

Company Overview