Ameriprise
Compliance Manager - Complaint Resolution
Ameriprise, Minneapolis, Minnesota, United States, 55400
Compliance Manager - Complaint Resolution
Join to apply for the
Compliance Manager - Complaint Resolution
role at
Ameriprise Financial Services, LLC Compliance Manager - Complaint Resolution
2 days ago Be among the first 25 applicants Join to apply for the
Compliance Manager - Complaint Resolution
role at
Ameriprise Financial Services, LLC Get AI-powered advice on this job and more exclusive features. We are searching for a Compliance Manager/Officer within the Complaint Resolution team, which is a dynamic group of individuals responsible for managing customer complaints and certain advisor errors that encompass the full scope of products offered by the Firm.
Key Responsibilities
Responsible for the effective and timely processing of complaints and advisor error requests to mitigate regulatory risk to the firm. The Compliance Manager is required to ensure recommended outcomes to client complaints and errors are appropriate, and that FINRA filings are made when applicable. A Compliance Manager is expected to be a resource for the team, to partner with offshore team members on case handling, and to provide support to external business partners.Research and respond to customer complaints and advisor error request cases, including contacting field members and clients as necessary.
Partner with internal business areas such as RiverSource, Legal and CSU to assist in the research of customer complaints and advisor errors.
Ensure that cases are processed efficiently, accurately, and timely to meet regulatory requirements and expectations. This includes negotiating complex client settlements.
Coach other team members in the case and ad hoc review process including partnering with offshore team members on their cases.
Handle delegated tasks and project work from the team leader as needed.
Required Qualifications
Bachelor's degree or equivalent (4-years)
3-5 years of relevant experience
Series 7 and Series 9/10 or Series 24 required
Strong knowledge of financial services industry.
Ability to communicate effectively with advisors, field RPs, and clients both verbally and in writing.
Use strong judgment when making sound, timely independent decisions on complex matters.
Excellent interpersonal skills with the ability to establish relationships internally and externally.
Flexibility to change as well as the ability and desire to influence change and to think strategically.
Ability to utilize multiple technology platforms with quantitative and qualitative analytical and problem-solving skills.
About Our Company
Were a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of 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.
Base Pay Salary
The estimated base salary for this role is $85,700 $115,000 a 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.
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 Seniority level
Seniority level
Mid-Senior level Employment type
Employment type
Full-time Job function
Job function
Legal Referrals increase your chances of interviewing at Ameriprise Financial Services, LLC by 2x Get notified about new Compliance Manager jobs in
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Join to apply for the
Compliance Manager - Complaint Resolution
role at
Ameriprise Financial Services, LLC Compliance Manager - Complaint Resolution
2 days ago Be among the first 25 applicants Join to apply for the
Compliance Manager - Complaint Resolution
role at
Ameriprise Financial Services, LLC Get AI-powered advice on this job and more exclusive features. We are searching for a Compliance Manager/Officer within the Complaint Resolution team, which is a dynamic group of individuals responsible for managing customer complaints and certain advisor errors that encompass the full scope of products offered by the Firm.
Key Responsibilities
Responsible for the effective and timely processing of complaints and advisor error requests to mitigate regulatory risk to the firm. The Compliance Manager is required to ensure recommended outcomes to client complaints and errors are appropriate, and that FINRA filings are made when applicable. A Compliance Manager is expected to be a resource for the team, to partner with offshore team members on case handling, and to provide support to external business partners.Research and respond to customer complaints and advisor error request cases, including contacting field members and clients as necessary.
Partner with internal business areas such as RiverSource, Legal and CSU to assist in the research of customer complaints and advisor errors.
Ensure that cases are processed efficiently, accurately, and timely to meet regulatory requirements and expectations. This includes negotiating complex client settlements.
Coach other team members in the case and ad hoc review process including partnering with offshore team members on their cases.
Handle delegated tasks and project work from the team leader as needed.
Required Qualifications
Bachelor's degree or equivalent (4-years)
3-5 years of relevant experience
Series 7 and Series 9/10 or Series 24 required
Strong knowledge of financial services industry.
Ability to communicate effectively with advisors, field RPs, and clients both verbally and in writing.
Use strong judgment when making sound, timely independent decisions on complex matters.
Excellent interpersonal skills with the ability to establish relationships internally and externally.
Flexibility to change as well as the ability and desire to influence change and to think strategically.
Ability to utilize multiple technology platforms with quantitative and qualitative analytical and problem-solving skills.
About Our Company
Were a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of 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.
Base Pay Salary
The estimated base salary for this role is $85,700 $115,000 a 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.
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 Seniority level
Seniority level
Mid-Senior level Employment type
Employment type
Full-time Job function
Job function
Legal Referrals increase your chances of interviewing at Ameriprise Financial Services, LLC by 2x Get notified about new Compliance Manager jobs in
Minneapolis, MN . Minneapolis, MN $110,000.00-$150,000.00 5 days ago Greater Minneapolis-St. Paul Area $100,000.00-$150,000.00 5 days ago Minneapolis, MN $94,000.00-$160,000.00 2 weeks ago Compliance Analyst Principal (Performance and Oversight) - Remote
Minneapolis, MN $94,000.00-$160,000.00 2 weeks ago Minneapolis, MN $110,000.00-$160,000.00 5 days ago St Louis Park, MN $105,000.00-$195,000.00 2 weeks ago Anoka, MN $105,000.00-$195,000.00 2 weeks ago Minneapolis, MN $75,000.00-$90,000.00 1 week ago Greater Minneapolis-St. Paul Area $104,625.00-$174,375.00 1 week ago Compliance Manager - Security and Crowd Management
Minneapolis, MN $65,000.00-$115,000.00 1 week ago Eagan, MN $110,000.00-$120,000.00 2 hours ago Minneapolis, MN $74,000.00-$118,000.00 2 weeks ago Compliance Specialist - Grants, Donations and Sponsorships
Minneapolis, MN $65,000.00-$115,000.00 1 week ago Minneapolis, MN $62,483.57-$93,725.36 5 days ago St Paul, MN $120,000.00-$180,000.00 3 weeks ago Hopkins, MN $77,100.00-$132,200.00 5 days ago Eden Prairie, MN $120,000.00-$130,000.00 2 weeks ago Minneapolis, MN $81,000.00-$138,000.00 1 week ago Eagan, MN $72,100.00-$133,900.00 1 week ago Were unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr