The Senior Compliance Analyst is responsible for helping to ensure our advisors and the firm comply with applicable rules and regulations, policies, and procedures. This is a critical position as the effective and timely processing of complaints and advisor errors (investigations) is necessary in order to mitigate regulatory risk to the firm. The Senior Compliance Analyst is required to review client complaints and investigations and is also responsible for mandatory FINRA filings.

Key Responsibilities

Process customer complaints and request cases, including contacting field members and clients as necessary.
Ensure that customer complaints and requests are processed efficiently, accurately, and timely to meet regulatory requirements and expectations. This includes negotiating complex settlements.
Collaborate with other team members regarding process efficiency ideas and partner with offshore team members on their cases.
Handle delegated tasks from the team leader as needed

Required Qualifications

Bachelor's degree or equivalent (4-years)
Possess excellent interpersonal skills with the ability to establish relationships internally and externally
Ability to plan and manage multiple and competing priorities in a highly dynamic environment, to meet deadlines and to influence change across the enterprise.
Exceptional verbal and written communication skills
Ability to collaborate, communicate, and influence across different levels of an organization.
A firm understanding of the products and services offered by a broker dealer is required, plus demonstrated quantitative and qualitative analytical and problem-solving skills
Strong attention to detail with the ability to think strategically.
Enjoy working autonomously as well as with groups.
FINRA Series 7 or the ability to obtain within 120 days.

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.

Base Pay Salary

The estimated base salary for this role is $69,900-$94,400/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.

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Legal Affairs

Line of Business

GCO General Counsel's Organization