Compliance Analyst

Compliance Analyst

We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves 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 on our clients and strong financial foundation connects each of our unique businesses – Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Job Description

We are searching for a Compliance Analyst within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals in support of the Advice and Wealth Management (AWM) Compliance program. This role is responsible for facilitating the established Field Compliance Manual Intake process and supports the policy lifecycle. As well as maintaining the Corporate Compliance Manuals and other compliance resources in a timely and controlled manner. Success in this role requires strong organizational, communication, and analytical skills; attention to detail; and the ability to prioritize tasks, work independently and as a team.

Key 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.

Required Qualifications:

• 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.

In-Office Collaboration

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Visa Sponsorship

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Base Pay Salary

The estimated hourly rate for this role is $28.03-$38.51/hour. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Non-Exempt

Job Family Group

Legal Affairs

Line of Business

GCO General Counsel's Organization

Equal Opportunity Employer

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.