Compliance Operations Specialist

2 weeks ago

Minneapolis, Minnesota, United States Ameriprise Financial Full time

We are pleased to announce an opportunity at Ameriprise Financial for a Compliance Operations Specialist. This role is integral to our Regulatory Affairs team, providing essential operational support in the management of regulatory assessments, inquiries, and internal reviews. Responsibilities encompass matter intake, document production, logistical coordination, records oversight, metrics analysis, and the upkeep of shared resources.

Key Responsibilities:

  • Matter Intake: Responsible for logging, analyzing, and distributing regulatory inquiries and investigations to appropriate managers.
  • Document Production: Involves the identification, collection, analysis, and provision of requested documents and information.
  • Logistical Coordination: Includes obtaining security clearances for examiners and preparing relevant tracking materials.
  • Operational Support: Encompasses the maintenance of shared tools and resources that enhance standard processes, management of statistical reports related to metrics and trends, and oversight of certain records in line with retention policies.

As the role evolves, you will also engage in:

  • Matter-Specific Analysis: Involves researching historical response data and trends or supporting specific components of larger regulatory inquiries.
  • Substantive Response Management: Collaborating with colleagues and business partners to gather information pertinent to specific regulatory requests.


Required Qualifications:

  • Bachelor's degree or equivalent experience.
  • 1-3 years of relevant professional experience.
  • Proficient in planning and managing multiple priorities in a dynamic environment.
  • Exceptional written and verbal communication skills.
  • Strong interpersonal abilities: capable of establishing credibility and fostering collaborative relationships.
  • Strategic thinker with a keen interest in analysis, investigation, and problem-solving.
  • Self-driven with the capacity to achieve results independently and within a team.


Preferred Qualifications:

  • Familiarity with the insurance and financial services sectors, including regulatory requirements and compliance policies.
  • Awareness of Ameriprise Financial's products, services, and supervisory frameworks.
  • Positive, service-oriented attitude.
  • Interest in learning about evolving technologies.
  • Ability to adapt to diverse cultures and styles.
  • Innovative mindset.

About Our Company:
Ameriprise Financial is a leader in diversified financial services, managing over $1 trillion in assets as of 2022. Our dedicated team of 20,000 professionals across more than 20 countries serves over 2 million clients, including individuals, small businesses, and institutions. We are recognized for our commitment to financial planning and advice, global asset management, and insurance services. Our focus on client satisfaction and robust financial foundation connects our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments, and RiverSource Insurance and Annuities. We are committed to fostering meaningful careers, investing in the future, and making a positive impact on clients, institutions, and communities worldwide.

Ameriprise Financial is an equal opportunity employer, considering 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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