Vice President, Chief Compliance Officer
The Chief Compliance Officer role will be responsible for the administration, oversight, and direction of the Ameriprise Bank? compliance program, which is designed to ensure compliance with a broad range of laws, rules, and regulations pertaining to banking compliance, including BSA/AML in conjunction with the enterprise AML team and which will evolve as the Bank? product offerings grow. Key...
Responsibilities
The Chief Compliance Officer role will be responsible for the administration, oversight, and direction of the Ameriprise Bank? compliance program, which is designed to ensure compliance with a broad range of laws, rules, and regulations pertaining to banking compliance, including BSA/AML in conjunction with the enterprise AML team and which will evolve as the Bank? product offerings grow. The Chief Compliance Officer (CCO) will report quarterly to the Audit Committee of the Bank and management-level Compliance Committee on compliance plans and efforts, regulatory changes, and their anticipated impact, and provide recommendations that strengthen the overall compliance program. The CCO will maintain and enhance compliance processes consistent with OCC, CFPB, FDIC and other federal and state law and regulatory requirements, including consumer compliance obligations such as the Community Reinvestment Act and Fair Lending rules, the USA PATRIOT Act, Bank Secrecy Act, and Privacy Act. From an AML/BSA standpoint, the role will partner with the enterprise AML team, where the day-to-day AML work is managed. The CCO will similarly partner with Surveillance, Analytics, Investigations and Fraud teams within the broader Ameriprise Compliance department. The CCO will report functionally to the Senior Vice President ?Chief Compliance Officer of Ameriprise? Advice and Wealth Management and Retirement and Protection Services Segments, with a dual reporting relationship to the President and CEO of the Bank through an intercompany agreement.
Required Qualifications
Bachelor? degree or equivalent. 10+ years relevant experience. Strong knowledge of consumer banking, preferably within an Industrial Charter Bank and regulations. Direct experience leading elements of a financial services company compliance program. Understanding of banking systems and processes. Leadership experience and the ability to influence decisions. Excellent oral and written communications skills. Ability to lead and influence effectively across a matrix organization.
Preferred Qualifications
JD or other advanced degree. Broad understanding of various financial services companies. Background in banking activities sold or serviced through broker-dealers. Background in Utah Industrial Bank compliance Professional accreditation such as a Certified Community Banking Compliance Officer (CCBCO), ?Certified Anti-Money Laundering Specialist (CAMS) or other.
About Our Company
We?e a diversified financial services leader with more than $1 trillion in assets under management and administration. Our team of 20,000 people in more than 20 countries advise, manage and protect the assets and income of more than 2 million individual, small business and institutional clients. We are a long-standing 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 Services, 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. Base Pay Salary 176,600-238,500 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. Full-Time/Part-Time Full time Exempt/Non-Exempt Exempt Job Family Group Legal Affairs Line of Business GCO General Counsel's Organization We?e a diversified financial services leader with more than $1 trillion in assets under management and administration. Our team of 20,000 people in more than 20 countries advise, manage and protect the assets and income of more than 2 million individual, small business and institutional clients. We are a long-standing 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 Services, 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 Apply Job!