Company: Ameriprise Financial
Position: Compliance Officer
Location: Boston, MA
Description: The compliance manager will ensure that marketing materials and communications meet applicable regulatory and internal compliance policies and procedures. Responsible for creating and updating relevant compliance policies, procedures and guidelines for various business lines and their respective products and services. Assist in ad hoc projects ranging from new products to analysis of new regulations and their implementation.
About Ameriprise :
With the right company, life can be brilliant. At Ameriprise, we’re not just in the business of helping clients with their financial goals — we also help our advisors and employees reach their true potential. Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work. You’ll also have plenty of opportunities to make your mark at the office and a difference in your community. So if you’re talented, driven and want to work for a strong ethical company that cares, take the next step to create a brilliant career at Ameriprise Financial.
- Review marketing materials and communications created by broker-dealer, registered investment advisor and other Ameriprise entities for compliance with applicable regulatory requirements and internal compliance policies and procedures.
- Understand and apply applicable compliance policies and procedures.
- Identify and escalate materials as needed to other subject matter experts and/or review groups.
- Build and maintain effective relationships with key business, legal and compliance partners to support a strong culture of compliance.
- Work collaboratively with multiple business partners to gain a thorough understanding of our businesses and the products & services they provide.
- Assist and influence business partners to ensure compliance policies and procedures are implemented and followed.
- Stay current on applicable laws and regulations; consider their effect on business practices and provide guidance to business partners.
- Pro-actively attend in person meetings and hold ad hoc discussions with business partners and other areas to understand new initiatives, offer compliance guidance and determine the potential impact to communications and marketing materials.
- Contribute to the development, implementation, maintenance and improvement of business unit procedures and employee training materials designed to help ensure marketing and communication materials are compliant.
- Work on special projects, and perform other duties as assigned.
- Bachelor’s degree or equivalent.
- 5+ years of relevant work experience.
- Minimum of 2 years of hands on communication review experience.
- Proven success in audit and/or compliance functions.
- Strong knowledge of financial services industry.
- Knowledge of FINRA, SEC, State, and other regulatory requirements.
- Strong written and verbal communication skills.
- Ability to prepare and/or present material for senior leaders with leader support.
- Proven ability to think fast, respond and learn quickly in a fast-paced environment.
- Enjoy working autonomously as well as with groups.
- Excellent analytical and research skills.
- Strong interpersonal skills with a client focus.
- FINRA Series 7 & 24 or 6 & 26 preferred.
- Ability to quickly learn new software and to create effective communications in Word, Excel, and PowerPoint.