Compliance Manager

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 Manager/Officer within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support Global Asset Management Compliance program for Columbia Threadneedle Investments through performance of ongoing compliance monitoring, oversight, and advisory activities. You will work in a collaborative culture where you will interact with a diverse set of business partners. Come and demonstrate your flexible, creative, and detailed oriented skills. Columbia Threadneedle (CTI) is an organization that is committed to diversity and inclusion that supports work-life balance, structured mentoring, and career progression! Are you ready to get started and continue growing your career? Come apply today!

Key Responsibilities

• Conduct testing of CTI business functions for compliance with applicable laws and regulations. Perform standalone reviews and/or collaborate with non-US team members to conduct global reviews.
• Assist, coordinate, and influence business partners to ensure that adequate compliance policies and procedures are developed and implemented.
• Research applicable laws and regulations, analyze their effect on business practices, and work with Legal Department partners, as needed, to clarify requirements and address related issues. Identify problem policies related to the application of laws and regulations.
• Maintain current knowledge of industry practices and developments. Raise issues and maintain records, as required or appropriate.
• Serve as an expert resource on assigned subjects for multiple lines of business and/or larger scope, provide compliance support to assigned business lines, and act as a key resource and “go to” person for business partners.
• Review internal and external business practices, analyze data, and work with partners in covered business lines to identify potential problems. Close recognized gaps and support effective day-to-day compliance oversight.

Required Qualifications

• Bachelor's degree or equivalent (4-years)
• 5-7 years of relevant experience
• Strong knowledge of financial services industry.
• Knowledge of SEC, CFTC, State, and other regulatory requirements for investment advisers, registered investment companies, transfer agents and broker/dealers.
• Strong written and verbal communication skills.
• Facilitation skills.
• Ability to prepare and/or present material for senior leaders, with leader support.
• Intermediate-level skills in Microsoft Word, Excel, and PowerPoint.

Preferred Qualifications

• Prior experience with middle/back-office operations of investment companies and investment advisers.
• Past experience working with non US investment products (e.g., OEICs, SICAVs)
• Experience in developing process flows/diagrams. Working knowledge of Microsoft Visio.
• Microsoft Access skills.

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 base salary for this role is $78,700 - $138,200/ year. 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

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.