Ameriprise Financial Services, LLC is a diversified financial services leader with a strong focus on client service and asset management. They are seeking a Compliance Analyst to support the Advice and Wealth Management Compliance program by managing the policy lifecycle and facilitating compliance processes.
Responsibilities
- Lead the Field Compliance Manual Intake process
- Serve as the primary point of contact for intake submitters, providing guidance on required information, supporting materials and next steps in the policy change process
- Facilitate the annual review and policy change submissions of the Corporate Compliance Manuals
- Coordinate with Compliance SMEs and other stakeholders to support policy drafting and approval
- Schedule and support-intake related meetings, capturing action items, alignment decisions and follow-up tasks
- Assist in identifying potential downstream impacts, communication needs and dependencies associated with policy changes
- Maintain accurate records of policy intake submissions, decisions, and supporting documentation
- Assist with periodic reviews and reporting
- Identify opportunities to improve intake workflows, tracking, and guidance
- Support updates to intake-related procedures as processes evolve
- Provide backup coverage for other policy intake/compliance operational activities as needed
- Research applicable laws and regulations to analyze their effect on business practices
- Review, research and respond to compliance related inquiries from the field and corporate business partners
- As business needs evolve, you will have opportunities to broaden your expertise and impact by supporting additional compliance SME areas
Skills
- Bachelor's Degree
- 1-3 years of relevant experience
- Excellent organizational and time management skills
- Excellent written and interpersonal communication skills
- Able to prioritize tasks, work independently and be part of a team
- Flexibility to change as well as the ability and desire to influence change
- Capacity to plan and manage multiple and competing priorities in a highly dynamic environment and to meet deadlines
- Strong attention to detail
- Demonstrated ability to apply both strategic and analytic techniques to provide business solutions and recommendations
- Strong analytic skills
- Highly proficient with Word and Excel
Benefits
- Vacation time
- Sick time
- 401(k)
- Health, dental and life insurances
Company Overview
At Ameriprise Financial, we have been helping people feel more confident about their financial future for over 130 years. It was founded in 1990, and is headquartered in Vancouver, Washington, USA, with a workforce of 5001-10000 employees. Its website is https://www.kpsinc.net.