Job DescriptionAmeriprise is currently seeking a Chief Compliance Officer to lead Compliance for one of the largest Broker Dealers in the country. In this role, you will lead compliance for a field force of nearly 10,000 advisors and field leaders shaping the governance of our Advice and Wealth Management business.You will participate in executive leadership meetings and work closely with the President of Advice and Wealth Management as well as the Presidents of the Ameriprise Franchise and Employee channels respectively. We have built a strong reputation based on client-focus, integrity and strong governance, and the Chief Compliance Officer plays a key role in these areas.The Chief Compliance Officer will be responsible for overseeing the strategic development, implementation and management of the regulatory compliance program for Advice and Wealth Management including the distribution channel, retail advisory activities, and clearing and brokerage operations. In this role, you will serve as the head of a 100+ person compliance organization, who will lead and develop policies and procedures that will continue building on our strong culture of compliance, and maintain strong relationships with senior business partners who will effectuate those policies and procedures. You will have responsibility and oversight of various business functions to identify risk and propose solutions.Reporting to the Executive Vice President, & General Counsel, the Chief Compliance Officer is expected to be a strong business partner, understand the external competition and regulatory environment, as well as having a strong technical background, and leading a large compliance organization. You will be expected to maintain a culture of integrity and continuous improvement to ensure the compliance department within Advice & Wealth Management has "best in class" practices in a manner that meets the Company and Key stakeholders' objectives.This is a highly visible role with executive influence and has a significant impact on the organization as a whole. This includes having the ability to influence with an enterprise thinking mindset.ResponsibilitiesResponsibilities:-Ability to identify industry trends and potential areas of vulnerability and risk to the Company's overall compliance program; ensuring strong controls are in place and updated as necessary to effectively provide protection to clients and their assets.-Build collaborative relationships with all levels of management to consult on compliance concerns, business initiatives, and establish compliance goals and priorities that ensure compliance with state and federal regulators.-Lead a team of 100+ compliance professionals who provide all aspects of compliance oversight, testing, monitoring, and training to assigned business units, including coaching, career development and performance management.-Oversight of customer complaints, as well as regulatory inquiries, and leads efforts to correct misconduct. Oversees and ensures the proper reporting of violations or potential violations as required/appropriate.-Strategic understanding of the competition, as well as maintaining relationships with external regulators (SEC, FINRA and the states), positioning the company to have industry leading policies required to comply with various regulations.Leadership Expectations:-A successful track record developing strong relationships across a broad range of peers, superiors and subordinates, allowing the individual to effectively influence change.-Proactive critical thinker - ability to foresee potential risks ahead of making business decisions.-Maximizes relationships, builds trust and communicates effectively across business units, staff groups and geographic locations.-Demonstrates accountability and focus on client needs and creating value for the shareholder.-Politically astute; able to effectively address potentially difficult and unpopular issues with business partners and Executive Leadership.-History of effectively interacting with, and influencing, senior executives-Excellent record of attracting, retaining and developing talent and building high-performing, engaged and motivated teams.-Thinks strategically, creatively and drives innovation with a focus on continuous improvement.-Consistently models, demonstrates and reinforces Ameriprise Financial's 10 Behaviors & Commitments.Required QualificationsRequired Qualifications:-Qualified applicants must have the proven ability to effectively motivate and lead a team of compliance professionals.-10+ years of related compliance experience, leading a successful compliance organization within financial services required preferably for a large broker dealer-Demonstrated and successful track record working with executive field leaders and developing and/or implementing a comprehensive compliance strategy-Significant experience working with regulators-Experience leading senior managers and developing a culture of thought leadership in addition to having legal expertise.-Proven track record of strong communication skills both internally and externally, including external parties whose interests may be averse to Ameriprise.-Knowledge of and technical proficiency with various laws, (e.g. Securities Exchange Act of 1934, Investment Advisers Act of 1940, FINRA Rules).-Series 7 and 24 required within specified timeframeAbout Our CompanyWith the right company, life can be brilliant. At Ameriprise, we're not just in the business of managing our clients' finances - we also help our advisors and employees reach their true potential, too. Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work. You'll also have plenty of opportunities to make your mark at the office and a difference in your community. So if you're talented, driven and want to work for a strong ethical company that cares, take the next step to create a brilliant career at Ameriprise Financial.We are an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other protected characteristic. The EEO is the Law poster is available here.VEVRAA Federal ContractorWe request Priority Protected Veteran & Disabled Referrals for all of our locations within the state.

Job DescriptionThe Project Mgr-Tech is responsible for end-to-end ownership of one or more technology projects or releases. The Project Mgr-Tech will plan and effectively manage all aspects of the project or release including cost, schedule, scope, quality and project resources following the appropriate methodologies.ResponsibilitiesManage Project Life Cycle- Deliver an annual portfolio of moderately complex technology projects with total budgets ranging from approximately $1MM to $5MM+ through effective management of budget, schedule, scope, quality and risk.- Accountable for project communications, milestone tracking, resource planning, financials, risk assessment and contingency planning and escalation and resolution of critical issues to project sponsor/owners.Manage Project Resources- Provide leadership to project resources in a manner that ensures timely delivery on commitments/tasks in support of broader project deliverables.- Align and lead cross-organizational resources to ensure successful delivery of the project. Identify project resource requirements including on-shore, off-shore, employee and contractor resources and work with plan sponsors to ensure adequately skilled resources are available to deliver on project commitments.Develop Project- Develop the overall project vision, approach, objectives and key deliverables; identify/track key measures of success.- Develop a comprehensive project plan incorporating deliverables, resource plans, milestones, accountabilities, communication plan and time lines.- Ensure project tracking and status are maintained appropriately.- Provide regular status reporting on plan progress, and ensure all company standards are followed.- Ensure appropriate testing and quality reviews are conducted and receive sign-off.Reporting- Provide regular status reporting for assigned releases.- Log, track and escalate high priority project issues that may impact ability to deliver a quality project according to plan.Manage Expectations- Work effectively with business partners, vendors and staff to develop the project agenda and ensure agreement/adoption of project objectives/deliverables by affected constituencies.- Effectively manage client expectations and resource requirements to ensure ownership and success.- Familiar with project planning software (preferably MS Project).Required Qualifications- Bachelor's degree in Computer Science, Business or related field; or equivalent work experience.- 3-5 years of relevant experience- 3+ years successful track record of delivering projects that meet business objectives as well as time, budget and quality guidelines.- Solid understanding of business functional areas and management issues as well as the IT organizations systems and capabilities.- Demonstrated ability to deal with ambiguity and to effectively manage within it.- Superior written and verbal communication skills including with executive level presentations.- Strong analytic and problem solving skills.- Experience managing project plans, time lines, test plans, resources and budgets. Preferred Qualifications- 5+ years experience in desktop and End User Computing areas; working knowledge of Microsoft Operating Systems, Office Product and OEM hardware vendors.- Preferred certifications: PMP, PMI-ACI, PMI-RMP, PMI-SP- Successful experience driving cross-functional and cross-organizational teams to meet project objectives.- Expert skills in project management methodologies, processes and industry standard tools.- Proven ability to work effectively with on-shore and off-shore employee and contract resources.- Ability to formally present project related information in a clear, concise and persuasive manner.- Ability to relate well at all levels of the organization, building rapport and maintaining collaborative relationships. License(s) RequiredNoneAbout Our CompanyWith the right company, life can be brilliant. At Ameriprise, we're not just in the business of managing our clients' finances - we also help our advisors and employees reach their true potential, too. Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work. You'll also have plenty of opportunities to make your mark at the office and a difference in your community. So if you're talented, driven and want to work for a strong ethical company that cares, take the next step to create a brilliant career at Ameriprise Financial.We are an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other protected characteristic. The EEO is the Law poster is available here.VEVRAA Federal ContractorWe request Priority Protected Veteran & Disabled Referrals for all of our locations within the state.

Job DescriptionAssigned to the employee advisor or branch, utilizing the client relationship model & turnkey tools to assist & support the advisor in building efficiencies, growing of their practice & in servicing clients by gathering & analyzing client data, helping prepare financial plans, working with clients to process transactions & trades & other practice management tasks as needed. Provide general administrative/reception/operations support as needed in the branch.Responsibilities-Assist advisor in servicing clients including preparing financial plans, conducting investment research and completing trades and transactions as described by the advisor.-Prepare and summarize client meetings by scheduling and confirming meetings, enter data into contact manager, create the agenda and summary of meetings, escort clients to advisor and provide necessary follow-up.-Prepare and ensure new business paperwork successfully submitted which includes preparing forms, obtain appropriate signatures, prepare documentation to send to home office, track new insurance applications and coordinate rollovers.-Prepare for and coordinate marketing events which includes creating marketing compliance documentation and managing event marketing reimbursement.-Provide general administrative duties such as answering the advisors phone, process expense management reports, prepare routine client correspondence, support for closes, set up of client files, copy and new business correspondence and alerts.   Required Qualifications-Associate (2-year) degree or equivalent.-Relevant Experience Required-3 to 5 years.-Experience working in a client service environment.-Detail orientated, strong math, and analytical skills. Good organization and time management skills.-Able to manage multiple priorities and prioritizes effectively. Able to independently work with minimal supervision.-Able to communicate with all levels within the organization. Process oriented and can work with a team.-Strong computer and software skills.Preferred Qualifications-Bachelors degree or equivalent.-Insurance knowledge/ background.License(s) RequiredNoneAbout Our CompanyWith the right company, life can be brilliant. At Ameriprise, we're not just in the business of managing our clients' finances - we also help our advisors and employees reach their true potential, too. Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work. You'll also have plenty of opportunities to make your mark at the office and a difference in your community. So if you're talented, driven and want to work for a strong ethical company that cares, take the next step to create a brilliant career at Ameriprise Financial.We are an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other protected characteristic. The EEO is the Law poster is available here.VEVRAA Federal ContractorWe request Priority Protected Veteran & Disabled Referrals for all of our locations within the state.