Ensure our advisors and the firm comply with applicable rules and regulations, policies, and procedures. Effective and timely processing of complaints and advisor errors, as necessary in order to mitigate regulatory risk to the firm.
Responsibilities
End-to-end processing of customer complaints and investigations. This also includes contacting field members and clients as necessary.
Work in partnership with offshore complaint team on partnered cases, which includes executing key steps in the process, reviewing correspondence and evaluation of recommended actions in order to drive the case to conclusion.
Ensure that customer complaints and investigations cases are processed efficiently, accurately, and timely to meet regulatory requirements and expectations.
Negotiating and processing client settlements as needed. Recommend solutions as appropriate.
Ensure mandatory FINRA filing are processed in a timely manner.
Performs other duties as assigned.
Required Qualifications
Energetic, service-oriented individual with a positive attitude.
Excellent interpersonal skills with the ability to establish relationships internally and externally.
Excellent written and verbal communication skills.
Ability to plan and manage multiple and competing priorities in a highly dynamic environment, to meet deadlines and to influence change.
Firm understanding of the products and services offered by a broker dealer, as well as supervisory responsibilities.
Demonstrated quantitative and qualitative analytical and problem-solving skills.
Strong attention to detail.
4-year college degree, or equivalent experience.
Series 7
Series 9/10 or Series 24 or ability to obtain license(s) within 90 days of hire
5-7 years of relevant experience.
Preferred Qualifications
Working knowledge of Ameriprise products, services, and processes.
About Our Company
At Ameriprise Financial, 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 by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
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.
