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Senior Compliance Specialist
at Ameriprise Financial
Minneapolis, MN

Senior Compliance Specialist
at Ameriprise Financial
Minneapolis, MN

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Description

Job Description
The Compliance Coordinator is a member of our Compliance Complaints and Investigations team and is responsible for the intake process and case setup of written and verbal complaints, internal reviews, and investigation cases as well as providing support and administrative duties to case handlers and leaders.
Responsibilities
* This position will be responsible for general administrative duties performed for the Complaint Resolution team; distribution and tracking physical and electronic correspondence, setting up of new complaint and investigation cases, communicating directly with clients, advisors, and business partners regarding compliance related issues and case status.
* Manage the Complaint Resolution general phone line and shared Outlook mailbox.
* Generating compliance reports for leaders and providing ad-hoc support of compliance matters to case handlers and leaders.
* Handles the process to ensure our Books and Records of both the C&I and FOI teams and sent to the appropriate location.
Required Qualifications
* Associate degree or equivalent.
* 1 year of experience.
* Service-oriented individual with a positive attitude.
* Strong written, verbal and interpersonal communication skills.
* Ability to establish relationships internally and externally, and work with all levels of the organization and the field.
* Strong technical and problem-solving skills.
* Ability to plan and manage multiple and competing priorities in a highly dynamic environment and to meet deadlines.
About Our Company
With the right company, life can be brilliant. At Ameriprise, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential. 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 Contractor
We request Priority Protected Veteran & Disabled Referrals for all of our locations within the state.

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