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Regulatory Affairs Analyst

1 month ago

Minneapolis, United States Ameriprise Financial Full time
We have an exciting opportunity at Ameriprise as a Regulatory Affairs Analyst This position is part of a team that provides day-to-day operational support to the Regulatory Affairs team in managing regulatory exams, inquiries and internal investigations. This includes matter intake, production fulfillment, logistical support, records management, metrics reporting and maintenance of shared tools. Position will also conduct matter-specific analysis and provide substantive response management over time. Come apply today

Key Responsibilities

  • Matter intake, which involves logging, analyzing and distributing regulatory requests and investigations to managers.

  • Production support, which involves locating, collecting, analyzing and/or producing requested documents and information.

  • Logistical support, which includes acquiring security clearance for examiners and preparing relevant tracking materials; and

  • Other team-related operational support, which includes the maintenance of shared tools and resources that drive standard processes, the management of statistical reports related to metrics and trends, and the management of certain records in accordance with retention policies and procedures.

Over time, this position will also support:

  • Matter-specific analysis, which includes researching historical response information and trends, or supporting discrete pieces of larger regulatory requests; and

  • substantive response management, which includes collaborating with GCO colleagues and business partners to acquire information responsive to specific regulatory requests.


Required Qualifications

  • Bachelor's degree or equivalent experience.

  • 1-3 years of relevant work experience.

  • Ability to effectively plan and manage multiple and competing priorities in a highly dynamic environment.

  • Excellent written and verbal communication skills.

  • Excellent interpersonal skills: ability to establish credibility and build strong collaborative relationships internally and externally.

  • Strategic thinker, thorough and meticulous with an interest in analysis, investigation and problem solving.

  • Self-motivated with the ability to achieve results as an individual contributor and working in a team-based environment.


Preferred Qualifications

  • Familiarity with insurance and financial services industry, Broker/Dealer regulatory requirements, Insurance regulatory requirements, compliance policies and procedures.

  • An awareness of Ameriprise Financial products, services and technology/systems as well as supervisory structure preferred.

  • Upbeat, service-oriented individual with a positive attitude.

  • Interest in learning evolving technology.

  • Ability to adapt to different cultures and styles.

  • Innovative mentality.

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 OrganizationPDN-9c633872-dfbf-46e8-a7e5-fd75198ac5bf