http://ameriprise.jobs2web.com/go/Legal-and-Compliance/23922/ Legal and Compliance, Ameriprise jobs Tue, 09 Feb 2010 18:02:33 GMT en-us /view/client/ameriprise/images/banner.gif http://ameriprise.jobs2web.com/go/Legal-and-Compliance/23922/ 720
Available Openings:
1

Job Title:
Compliance Manager - Ameriprise Advisor Center (AAC)

Job ID:
79007
Minneapolis, MN

Location:

Business Unit:
AAC-Ameriprise Advisor Center

Full/Part Time:
Full-Time

Eligible for Relocation:
N

Regular/Temporary:
Regular

Travel Percentage: None

License:

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 adviserinfo.sec.gov 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
The Ameriprise Advisor Center (AAC) works with Ameriprise Financial clients through a dedicated team of financial advisors and consultants located in our Minneapolis corporate office.

This position acts as a Full or Functional Registered Principal (RP) Delegate by providing day-to-day compliance supervision of financial advisors through the review of daily sales activity blotters, exception reports, and identifying changes in sales patterns or trends that may warrant additional supervisory review or oversight. Responsibilities include but are not limited to the review of correspondence, the annual sales practice review, client interviews, complaint and internal review handling, compliance training, mail handling, monitoring continuing education training requirements, review of advice, and outside business activity disclosure review. May participate in additional projects and initiatives.
Qualifications
FINRA Series 7 & 24 registrations, state securities license required (may require FINRA S9/10, S51 or S53 to supervise 529 plans and to supervise options requires S4 or S9/10). Strong knowledge of financial services industry, Broker/Dealer regulatory issues, compliance policies and procedures, and an awareness of Ameriprise Financial products, services and technology/systems. Demonstrated detail-orientation and aptitude for analysis, investigation and problem solving, ability to manage change, and effectively apply conflict management skills. Demonstrated leadership and communication skills, including the ability to deliver positive and constructive feedback and coaching. The ideal candidate is self-motivated with the ability to achieve results as an individual contributor and working in a team-based environment.

JCODE:23269
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