If you are not located close to a physical office, remote work is considered for qualified candidates.
We have an exciting opportunity as a Senior Compliance Analyst role at Ameriprise! The Sr. Compliance Analyst is responsible for helping to ensure our advisors and the firm align 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 vital in order to mitigate regulatory risk to the firm. The Sr. Compliance Analyst is required to review client complaint and investigations and is also responsible for mandatory FINRA filings. Come apply today!
End-to-end processing of customer complaints and investigations. This also includes contacting field members and clients as necessary.
Work in partnership with offshore complaint team on partnered cases, which includes executing key steps in the process, reviewing correspondence, and evaluation of recommended actions in order to drive the case to conclusion.
Ensure that customer complaint and investigation cases are processed efficiently, accurately and timely to meet regulatory requirements and expectations.
Negotiating and processing client settlements as needed.
Upbeat, service-oriented individual with a positive attitude.
Outstanding interpersonal skills with the ability to establish relationships internally and externally.
Excellent written and verbal communication skills.
Ability to plan and manage multiple and completing priorities in a highly dynamic environment, to meet deadlines and to inspire change.
Firm understanding of the products and services offered by a broker dealer, as well as supervisory responsibilities. Demonstrated quantitative and qualitative analytical and problem-solving skills.
Strong attention to detail. 4-year college degree, or equivalent experience.
3-5 years of relevant experience.
Series 7 or ability to acquire within 90 days.
About Our Company
At Ameriprise Financial, 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 by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you’re motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
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.
For more than 125 years, Ameriprise has remained true to our vision of putting our clients' interests first. Ameriprise is a company with integrity. Integrity has been a core value since we were founded by John Tappan in 1894. It's how, through panics, recessions, the Great Depression, and the recent Great Recession, we've grown into a global financial leader. We've never ...