We have an exciting opportunity as a Senior Compliance Manager at Columbia Threadneedle Investments Ameriprise! The successful candidate will join the asset management compliance organization, responsible for developing and driving the investment advisor compliance program. The candidate will play a key role in evolving the investment adviser's compliance program to address regulatory and business changes to minimize risk and will collaborate with colleagues both in the US and globally. Come apply today! Responsibilities
- Represent the compliance team in cross-functional initiatives and committees. Partner with compliance and business colleagues to ensure the relevant components of the compliance programs (e.g., formal processes, communications review, monitoring and other compliance controls) appropriately integrate responsible investing and controls are reasonably designed and successfully implemented and aligned to all aspects of adviser's RI business undertakings and disclosures.
- Provide advice and guidance to business partners on applicable compliance policies and related regulations, including the Investment Advisers Act of 1940 and other regulatory requirements, for investment advisers, mutual funds, exchange traded funds, and other advisory products.
- Perform ongoing monitoring of advisory activities to ensure consistency with regulatory requirements and policies and procedures. Provide recommendations to continue to strengthen the compliance controls in line with regulatory expectations and industry standard practices.
- Research and appropriately raise issues. Assist business partners in assessing and remediating compliance issues in a timely manner.
- Provide assistance with training and awareness measures on regulatory and policy change.
- Bachelors degree or equivalent (4-years)
- 5-7 years of relevant experience
- Proven success in audit and/or compliance functions.
- Outstanding knowledge of financial services industry.
- Knowledge of SEC and other regulatory requirements.
- Strong communication (written and verbal) and facilitation skills.
- Ability to prepare and/or present material for senior leaders, with leader support.
About Our Company
- Master's degree or equivalent (6-years)
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.