http://ameriprise.jobs2web.com/go/Legal-and-Compliance/23922/ Legal and Compliance, Ameriprise jobs en-us /images/ameriprise/banner.gif http://ameriprise.jobs2web.com/go/Legal-and-Compliance/23922/ 720 Job ID: 78986
Location: Minneapolis, MN
Available Openings: 1
Business Unit: General Counsel's Office
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 Director will report to the Vice President, Field Compliance Oversight, and will lead the Field Inspections Unit. This unit is responsible for performing field inspections on behalf of the broker/dealer as required under NASD Rule 3010. This unit designs, implements, and executes broker/dealer field inspections of registered OSJ's and branch offices to assess compliance with industry rules and company policy, as well as the effectiveness of supervisory policy and execution. Three Compliance Managers and one Trending and Reporting Manager will report to this Director position. Approximately 25 Compliance Examiners comprise the staff, reporting to the Compliance Managers. In conjunction with the field inspection work, the successful candidate will be responsible for fostering interdepartmental collaboration and communication both with other compliance units as well as various business units of the broker/dealer. Management of robust trending and inspection results reporting is necessary to proactively manage and mitigate risks identified through the inspection process. Presentations to senior-level corporate and field leaders will be part of this role. Qualifications -This position requires strong leadership skills. -Staff leadership and compliance management experience required. -Demonstrated ability to work effectively with and to influence all levels of the organization required. -Demonstrated ability to identify and manage risk in holistic manager required. -Strong knowledge of industry, NASD, and SEC requirements necessary. -Proven ability to drive results, negotiate, and resolve conflict necessary. -Prior inspection or audit experience preferred. --FINRA Series 7 and 24 registrations required. JCODE:23269 JCODE:23922

]]> http://ameriprise.jobs2web.com/job/MINNEAPOLIS-Director-Compliance-Job-MN-55401/682454/?utm_source=J2WRSS&utm_medium=rss&utm_campaign=J2W_RSS http://ameriprise.jobs2web.com/job/MINNEAPOLIS-Director-Compliance-Job-MN-55401/682454/?utm_source=J2WRSS&utm_medium=rss&utm_campaign=J2W_RSS Job ID: 78701
Location: Detroit, MI
Available Openings: 1
Business Unit: The Personal Advisors Group
Full/Part Time: Full-Time
Eligible for Relocation: N
Regular/Temporary: Regular
Travel Percentage: None
License:
Series 24 - Genl Secur. Princp / Series 65 - State IAA/IAR / Series66-Comb. St. Sec/IAA/IAR / Series

	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 Direct leadership of Centralized Supervision Unit (CSU) corporate Registered Principals (RPs) who provide direct sales supervision of annuity products. Provide second level of supervision for complex and escalated issues. Contact with advisors, field leaders and clients required in addition to analysis of information from multiple systems. -Provide leadership to team of corporate Registered Principals providing direct supervision of advisors' sales practice. Includes daily monitoring of workflow and making adjustments to ensure supervision is completed timely, regular assessment of team and individual performance, and hiring and training of staff. -Provide second level of supervision and/or approval for complex annuity transactions and escalated issues including advisor disagreements, reversal of trades and/or fees. -Serve as subject matter expert providing information and/or research to other CSU RPs and business partners including Compliance cases. -Communicate with advisors and field leaders regarding results of supervisory activity including one-on-one training. -Communicate with clients regarding activity to determine suitability. Qualifications -College degree -2-3 years experience in the financial services industry or related -Strong written and verbal communication skills; field communication experience preferred. -Strong analytic skills. -Leadership skills required; leadership experience preferred. -Fully registered and licensed to cover all products and services supervised by staff. -Comprehensive knowledge of the features and benefits of annuity products and complex annuity sales strategies JCODE:23918 JCODE:23919 JCODE:23269 JCODE:23922

]]> http://ameriprise.jobs2web.com/job/DETROIT-Supervisor-Corporate-Registered-Principal-II-Annuity-Supervision-(Detroit)-Job-MI-48201/644934/?utm_source=J2WRSS&utm_medium=rss&utm_campaign=J2W_RSS http://ameriprise.jobs2web.com/job/DETROIT-Supervisor-Corporate-Registered-Principal-II-Annuity-Supervision-(Detroit)-Job-MI-48201/644934/?utm_source=J2WRSS&utm_medium=rss&utm_campaign=J2W_RSS Job ID: 78702
Location: Detroit, MI
Available Openings: 12
Business Unit: The Personal Advisors Group
Full/Part Time: Full-Time
Eligible for Relocation: N
Regular/Temporary: Regular
Travel Percentage: None
License:
Series 24 - Genl Secur. Princp / Series 65 - State IAA/IAR / Series66-Comb. St. Sec/IAA/IAR / Series

	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 Direct sales supervision of annuity transactions. Contact with advisors, field leaders and clients required in addition analysis of information from multiple systems. -Supervise all new accounts and trades for annuity transactions -Communicate with advisors and field leaders regarding results of supervisory activity including one-on-one training. -Communicate with clients regarding activity to determine suitability. -Serve as subject matter expert providing information and/or research to other Central Supervision Unit (CSU) Registered Principals and business partners including compliance cases. Qualifications Required qualifications: -College degree -2-3 years financial services industry experience. -Fully registered and licensed to cover all products and services supervised including current Insurance Producer License. -Strong analytical skills. -Strong written and verbal communication skills. -Comprehensive knowledge of the features and benefits of annuity products and complex annuity sales strategies JCODE:23918 JCODE:23919 JCODE:23269 JCODE:23922

]]> http://ameriprise.jobs2web.com/job/DETROIT-Corporate-Registered-Principal-II-Annuity-Supervision-Detroit-Job-MI-48201/644935/?utm_source=J2WRSS&utm_medium=rss&utm_campaign=J2W_RSS http://ameriprise.jobs2web.com/job/DETROIT-Corporate-Registered-Principal-II-Annuity-Supervision-Detroit-Job-MI-48201/644935/?utm_source=J2WRSS&utm_medium=rss&utm_campaign=J2W_RSS