{"id":782858,"url":"https://alion.io/job/ameriprise-compliance-manager","title":"Compliance Manager","company":{"id":449655,"name":"Ameriprise Financial","domain":"ameriprise.com","url":"https://alion.io/company/ameriprise","size_band":"1001-5000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Workday","truth_index":{"grade":"A","score":98,"open_postings":58,"ghost_share":0,"stale_share":0.052,"repost_share":0.069,"time_to_fill_p50_days":27,"computed_at":"2026-10-29T05:49:05Z"}},"role":"Management","role_family":"Management","seniority":"senior","employment_type":"full_time","work_mode":"hybrid","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Boston, United States","Minneapolis, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":{"min":78700,"max":138200,"currency":"USD","period":"year","gross":null,"usd_annual":138200},"salary_estimate":null,"experience_years_min":5,"visa_sponsorship":true,"relocation_package":false,"has_equity":false,"technologies":[],"status":"live","first_seen_at":"2026-09-01T00:00:00Z","employer_posted_date":"2026-09-01","last_verified_at":"2026-10-30T01:01:40Z","board_verified":true,"closed_at":null,"days_open":59,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":59},"description":"About Our Company\nWe’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.\nJob Description\nThe Compliance Manager will support the day-to-day compliance needs for Columbia Threadneedle, with focus on the Intermediary and Institutional Sales and Distribution business groups. Support key areas such as product, marketing and sales distribution and initiatives, and communications review.Key Responsibilities\nAct as a subject matter expert in Broker-Dealer related sales and distribution rules and FINRA related regulations and provide general compliance support to the Intermediary and Institutional Distribution team.\n\nEstablish and maintain relationships and foster/promote a culture of compliance, with business partners and within AMC Compliance, including Licensing and Registration, Field Office Inspection, the Finance Team, Intermediary. Work collaboratively to gain/maintain a thorough understanding of products, services and business models.\n\nAssist with compliance risk assessments and effectively communicate those risks and suggestions for improvement to department leaders and business unit leaders, as applicable.\n\nStay up to date on regulatory (SEC, FINRA, CFTC/NFA and various important state specific legislature) and industry change and assist in the development of impact assessment and creating summary communication for applicable business partners.\n\nManage Intermediary Sales and Distribution related policies and procedures.\n\nProvide review and guidance to ensure marketing and communications created by Columbia Threadneedle Investments intermediary, institutional and product marketing meet applicable regulatory and internal compliance policies and procedures. Specifically, ensure communications are fair, balanced, complete and do not omit pertinent information and comply with company policies, guidelines, content and disclosure standards. Designate FINRA filing needs for each file reviewed and subsequently work with submitter and/or content owner to resolve any FINRA comments and document action taken.\n\nEscalate, as needed, to other subject matter experts and/or review groups. Consult with appropriate Legal or Compliance SME when there are questions about the interpretation of regulations or internal policies to support consistency and manage risk.\n\n Required Qualifications\nBachelor's degree or equivalent (4-years)\n\n5-7 years of relevant work experience.\n\nStrong knowledge of financial services industry and compliance functions.\n\nAbility to build and develop working knowledge of applicable Industry regulations.\n\nExperience in providing compliance support to sales and distribution areas Exceptional verbal and written communication skills.\n\nAbility to independently and effectively manage time and prioritize work to meet multiple tight deadlines while paying strong attention to detail.\n\nAbility to collaborate, communicate, and influence across different levels of an organization.\n\nAbility to maintain productive working relationships with business colleagues.\n\nProven ability to think fast, respond quickly and learn quickly in a fast-paced environment.\n\nNegotiation, decision making and problem-solving skills.\n\nPreferred Qualifications\nFINRA Series 7 and 24 or 6 and 26 preferred\n\nKnowledge of different financial products and services\n\nKnowledge of compliance/advertising review for broker dealer and/or registered investment adviser marketing materials\n\nAbility to quickly learn new software and create effective communications in Word, Excel, and PowerPoint\n\nExtensive experience working with FINRA analysts and FINRA exams.\n\nIn-Office Collaboration\nWe are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders - clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.\nVisa Sponsorship\nApplicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).\nBase Pay Salary\nThe estimated base salary for this role is $78,700 - $138,200/ year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.Full-Time/Part-Time\nFull timeExempt/Non-Exempt\nExemptJob Family Group\nLegal AffairsLine of Business\nGCO General Counsel's OrganizationAmeriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.\nWe are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.","description_format":"text","description_chars":6547,"description_truncated":false,"requirements":{"experience_years_min":5,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"bachelor","optional":false},"security_clearance":false,"languages":[]},"benefits":["Life insurance"],"hiring_locations":[{"name":"United States","iso":"US","kind":"country"}],"hiring_excludes":[],"relocation_offered":false,"industries":["Wealth Management & Financial Advisors","Asset Management & Funds","Life Insurance & Annuities"],"lifecycle":[{"event":"open","at":"2026-09-12T01:03:21Z"}],"visa":[{"country":"US","licensed_sponsor":true,"evidence":"H-1B filings in 12 months: 82 · green card filings: 14","filings_12m":82,"filings_prev_12m":89,"green_card_filings_12m":14,"median_offered_wage_usd":132708,"route":null,"cap_exempt":false,"checked_at":"2026-10-29T16:27:21+00:00","sources":["US Department of Labor: LCA disclosure data (H-1B, H-1B1, E-3)","US Department of Labor: PERM disclosure data (green cards)"],"filings_for_role_12m":0}],"liveness":{"score":19,"band":"cold","label":"Long shot","p_open":1,"p_active":0.668,"p_room":0.28,"age_days":58,"expected_fill_days":27,"reasons":["conf:3","velocity","win:tail","crowd:brand"],"computed_at":"2026-10-29T05:49:05Z"},"pay":{"stated_usd_annual":138200,"is_top_pay":false},"html_url":"https://alion.io/job/ameriprise-compliance-manager","json_url":"https://alion.io/job/ameriprise-compliance-manager.json","meta":{"generated_at":"2026-10-30T05:19:26Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":7469,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-10-31T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":449655},"rest":"https://alion.io/mcp/rest/get_company?id=449655"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fameriprise-compliance-manager"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fameriprise-compliance-manager"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fameriprise-compliance-manager"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/ameriprise-compliance-manager\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fameriprise-compliance-manager"}],"agent":{"mcp":"https://alion.io/mcp/jobs","mcp_open":"https://alion.io/mcp/open","next":[{"tool":"get_job","arguments":{"id":782858}},{"tool":"search_jobs","arguments":{"company":"ameriprise.com","detail":"compact"}},{"tool":"match_people","arguments":{"job_id":782858},"note":"people open to offers who fit this vacancy"}],"note":"The same data through MCP tools: https://alion.io/mcp/open needs no sign-in (compact searches, postings, people); https://alion.io/mcp with an Alion account has everything. Docs: https://alion.io/developers"}}