Job Listing
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| Job ID: 14324791 |
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| Job Location: |
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Public Transportation is Available.
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| How to Apply: | To see employer contact information, log in or register. |
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| Job Title: | Senior Compliance Analyst (R24_0000003248) |
| Work Type: | Work Days: Weekdays, Work Vary: No , Shift: First (Day), Hours Per Week: 40, Work Type: Regular |
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| Salary Offered: | $15.00 - $16.00 Hourly |
| Benefits: | Unspecified. |
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| Physical Required: | Unspecified |
| Drug Testing Required: | Unspecified |
| Education Required: | Associate's Degree |
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| Experience Required: | 24 Months |
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| Required Skills: | About Our Company
We're a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 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.
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.
Full-Time/Part-Time
Full time
Exempt/Non-Exempt
Exempt
Job Family Group
Legal Affairs
Line of Business
GCO General Counsel's Organization |
| Preferred Skills: |
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| Job Description: |
We have an exciting opportunity as a Sr. Compliance Analyst at Ameriprise! In this role, you will perform Compliance monitoring reviews covering a variety of regulatory topics and perform oversight of internal operations and outsourced providers to our global investment management businesses. Come apply today!
Key Responsibilities
Conducting regional and global Compliance testing and monitoring reviews in collaboration with both US and EMEA based Compliance Monitoring team colleagues
Performing ongoing internal and external service provider monitoring tasks
Provide compliance advisory support to assigned business areas
Supporting formal due diligence reviews of material third party service providers
Ownership/performance of ongoing monitoring tasks as part of the program of continuous assurance work, including ongoing third-party oversight
Creating management reporting/information
Assisting with ad-hoc Compliance tasks and project work as required
Required Qualifications
Bachelor's degree or equivalent (4-years)
2+ years' experience in the Asset Management industry
Ability to build and develop working knowledge of applicable Industry regulations.
Strong verbal and written communication skills.
Ability to manage a number of responsibilities simultaneously and prioritize tasks effectively
Ability to collaborate, communicate, and influence across different levels of an organization.
Negotiation, decision making and problem-solving skills.
Preferred Qualifications
Familiarity with US Federal Securities Laws (e.g., Investment Company Act of 1940)
Experience with conducting Compliance monitoring, audit or similar testing or assurance work in the financial services industry
Ability to quickly learn new software and create effective communications in Word, Excel, and PowerPoint
Refer to ID when applying |
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