Compliance Manager​/Officer

Overview

We are searching for a Compliance Manager/Officer within the General Counsel's Organization team. The role supports Advice and Wealth Management Compliance through ongoing monitoring, oversight, and advisory activities. The manager will work in a collaborative culture, interacting with diverse business partners and demonstrating flexibility, creativity, and detail orientation.

• Serve as a primary compliance advisor to Capital Markets and IRG stakeholders, applying deep knowledge of product structures, distribution requirements, and regulatory frameworks.
• Monitor and interpret emerging regulatory developments, providing actionable guidance and ensuring timely incorporation of rule changes into policies, supervisory procedures, and operational processes.
• Evaluate and elevate complex compliance issues, exercising sound judgment in an evolving investment product and regulatory environment.
• Collaborate cross‑functionally with Legal, Product, Operations, and other Compliance groups to support reviews, new product initiatives, regulatory exams, and strategic firmwide projects.
• Enhance and maintain written supervisory procedures and compliance manuals, supporting updates related to capital markets activity, product requirements, and emerging risks.
• Proactively identify trends, support monitoring activities, and ensure controls align with industry best practices and regulatory expectations to strengthen the firm’s risk management posture.

• Bachelor’s degree or equivalent (4‑years).
• 5‑7 years of relevant experience.
• Series 7 and 24, or ability to obtain.
• Strong knowledge of the financial services industry.
• Knowledge of SEC, CFTC, state, and other regulatory requirements for investment advisers, registered investment companies, and broker/dealers.
• Strong written and verbal communication skills.
• Facilitation skills.
• Ability to prepare and/or present material for senior leaders.
• Intermediate‑level skills in Microsoft Word, Excel, and PowerPoint.

• Experience in developing process flows/diagrams; working knowledge of Microsoft Visio.
• Microsoft Access skills and Power BI.

We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With over 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 our clients and strong financial foundation connects each of our unique businesses – Ameriprise Financial, Columbia Threadneedle Investments and River Source Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

The estimated base salary for this role is $87,400 - $120,200/year. The role may include variable pay such as bonus, commissions, or long‑term incentives. A competitive comprehensive benefits program supports health, well‑being, vacation 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.