Compliance Analyst

Employer
Ameriprise Financial, Inc.
Location
Minneapolis, USA
Salary
Competitive
Posted
Aug 11, 2022
Closes
Aug 17, 2022
Ref
15839302
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Conduct broad-based training analysis and training development management, provide compliance guidance and support to output processing (e.g., statements, confirmations, and letters), and perform ad hoc analysis of a variety of emerging topics. The Analyst will have a dotted-line reporting relationship to a second manager for half of their core responsibilities.

Responsibilities

TRAINING ANALYSIS AND MANAGEMENT:
  • Manage training projects to launch
  • Analyze business processes and provide efficiencies/best practices
  • Analyze training results and provide improvements
  • Manage training courseware testing and QA
  • Assist with on-site Annual Compliance Meeting video production
  • Support training launch logistics
  • Support legal and regulatory requests for information and reporting
  • Assist with or manage ad-hoc projects as they arise
COMPLIANCE BUSINESS SUPPORT:
  • Provide guidance to business partners as they develop and maintain compliant business procedures with primary focus on statements, confirmations, and letters; includes
  • Research of applicable laws and regulations
  • Analysis of their effect on business processes
  • Recurring disclosure reviews
  • Compliance procedure testing
  • Support of business initiatives
COMPLIANCE/PROCESS MANAGEMENT:
  • Identify trends and potential risks through the analysis of data, issues and business partner input
  • Develop and document process improvement opportunities
  • Assist with gathering evidence for data assurance testing, audits, and regulatory requests
REGULATORY MONITORING BACK-UP:
  • Manage the regulatory monitoring processes when the primary analyst is out of office


Required Qualifications

  • Bachelors degree or equivalent (4-years)
  • Relevant Experience Required (1-3 years)
  • Knowledge of securities, retail investment, and insurance industries.
  • Strong organizational skills.
  • Self-starting/problem solving skills.
  • Analytical skills.
  • Solid written and verbal communication skills.
  • Basic project management skills.


Preferred Qualifications

  • Knowledge of basic training modalities and instructional design.
  • Visual design acuity and critical eye.
  • FINRA Securities Industry Essentials


About Our Company

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.
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