The Manager, Business Unit Risk Compliance Liaison (BUCL) supports a robust and effective compliance/ supervisory program, along with a strong top down culture of compliance. This role will provide business unit compliance/risk management for the managed account/advisory product team. The BUCL will also make recommendations to enhance processes, policies, and procedures.
Responsibilities
- Support advisory controls, policies and procedures (Best Execution and step-out trading, 3rd party management, proxy voting, fair trading)
- Assist with the product specification process (product change and additions)
- Support compliance functions related to Experienced Advisor Recruit transition, Money Manager contract management, Select FactSheet management, AdTrax review/approval, disclosure management
- Serve as a risk subject matter expert for various projects
Required Qualifications
- Bachelor's degree (or equivalent work experience)
- 5+ years of relevant experience
- Understanding of the regulations and laws that impact the assigned line of business
- Analytical, problem-solving, and synthesizing skills
- Strong project management skills
- Strong Microsoft Excel skills
- Strong communication skills
- Active Series 7 or the ability to obtain in 120 days
- Active Series 24 or the ability to obtain in 120 days
Preferred Qualifications
- Knowledge of Ameriprise products and services, or the ability to quickly learn them.
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. |
