Compliance Manager - Broker-Dealer & Sales Oversight
00001 ameriprise financialEast Boston, MA
Compliance Manager - Broker-Dealer & Sales Oversight
00001 ameriprise financialEast Boston, MA
today
Industries
Investment Banking and Securities IntermediationMiscellaneous IntermediationCommodity Contracts IntermediationAbout the role
Ameriprise Financial is seeking a Compliance Manager to support day-to-day compliance for Columbia Threadneedle, focusing on Intermediary and Institutional Sales and Distribution. You will serve as a subject matter expert on Broker-Dealer rules and FINRA regulations, guiding marketing reviews and policy management. You will build strong relationships within AMC Compliance, Licensing, and Legal teams, stay current on regulatory changes, and help assess risk across products and channels.
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JOB OVERVIEW
Experience level
Senior
Location
East Boston, MA
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
today
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