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For your reference, we have included the original job posting below.
Compliance Manager/Officer II
Job Number:
25543778
Company Name:
Ameriprise Financial
Job Location:
Chicago, IL US
Job Category:
Accounting & Finance
Compliance Manager/Officer II
Compliance Manager/Officer II
Job ID:
80328
Location: Chicago, IL
Available Openings:
1
Business Unit:
General Counsel's Organization
Full/Part Time:
Full-Time
Eligible for Relocation:
N
Regular/Temporary:
Regular
Travel Percentage: None
License:
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About Ameriprise
You give more, you want more
You've worked hard and now you're looking for a career that's as rewarding as it is challenging. Ameriprise Financial is a great place to find just that. With our corporate headquarters in Minneapolis and offices nationwide, we're America's largest financial planning company¹ yet we're also a supportive nationwide family of financial professionals. We're proud to be ranked as one of the "Best Places to Launch a Career" by BusinessWeek magazine.²
You provide the initiative; we provide the support to help you succeed. Thrive in our diverse and inclusive environment with award-winning training,³ career development and 360° support guided by accessible leaders. If you're talented, driven, and ready to join a team of professionals who work every day to help their clients plan for and achieve their dreams, you're ready for a career at Ameriprise Financial.
Ameriprise Financial is an equal opportunity employer.
¹ Based on the number of financial plans annually disclosed in Form ADV, Part 1A, Item 5, available at as of Dec. 31, 2008, and the number of CFP® professionals documented by the Certified Financial Planner Board of Standards, Inc. ² BusinessWeek magazine, September 4, 2008. ³ DALBAR Financial Intermediary Post-Sale Service Award 2007.
Responsibilities
You will be responsible for development, implementation and maintenance of compliance policies for the Adviser, its related mutual fund accounts, offshore fund accounts, and other institutional accounts managed by the Adviser. You will report to the Chief Compliance Officer of the Adviser, Joe LaPalm.
Your responsibilities include but are not limited to the following: * Assist in the preparation and review of the compliance policies and procedures. * Provide guidance on complex compliance issues. * Keep current with regulatory changes. * Administer compliance and procedures as they relate to: 144a/private placement securities, filing of proof of class action claims, initial public offerings, interfund trades, daily trade allocations, best execution, soft dollar reporting, proxy voting, material non-public information, etc. * Preparation of SEC reports and other regulatory reporting filings. * Assist in the preparation and review of the Form ADV. * Train employees as necessary. * Other as needed.
Qualifications
A Bachelors degree is required with two years of investment advisor/investment company experience in a compliance or legal capacity preferred.
