Compliance Manager - Broker-Dealer & Sales Oversight

Compliance Manager - Broker-Dealer & Sales Oversight

00001 ameriprise financialEast Boston, MA

today

Apply for this 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.

Also on the board Same function, level within a rung

Level

Senior

Location

East Boston, MA

Occupation

Compliance Managers

Industry

Investment Banking and Securities Intermediation

Posted

today

Apply for this role →