What are the responsibilities and job description for the Compliance Analyst position at Ameriprise Financial Services, LLC?
About Our Company
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
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.
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
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.
Salary : $28 - $39