Conduct broad-based training analysis and training development management, provide compliance guidance and support to output processing (e.g., statements, confirmations, and letters), and perform ad hoc analysis of a variety of emerging topics. The Analyst will have a dotted-line reporting relationship to a second manager for half of their core responsibilities.
TRAINING ANALYSIS AND MANAGEMENT:
Manage training projects to launch
Analyze business processes and provide efficiencies/best practices
Analyze training results and provide improvements
Manage training courseware testing and QA
Assist with on-site Annual Compliance Meeting video production
Support training launch logistics
Support legal and regulatory requests for information and reporting
Assist with or manage ad-hoc projects as they arise
COMPLIANCE BUSINESS SUPPORT:
Provide guidance to business partners as they develop and maintain compliant business procedures with primary focus on statements, confirmations, and letters; includes
Research of applicable laws and regulations
Analysis of their effect on business processes
Recurring disclosure reviews
Compliance procedure testing
Support of business initiatives
Identify trends and potential risks through the analysis of data, issues and business partner input
Develop and document process improvement opportunities
Assist with gathering evidence for data assurance testing, audits, and regulatory requests
REGULATORY MONITORING BACK-UP:
Manage the regulatory monitoring processes when the primary analyst is out of office
Bachelors degree or equivalent (4-years)
Relevant Experience Required (1-3 years)
Knowledge of securities, retail investment, and insurance industries.
Strong organizational skills.
Self-starting/problem solving skills.
Solid written and verbal communication skills.
Basic project management skills.
Knowledge of basic training modalities and instructional design.
Visual design acuity and critical eye.
FINRA Securities Industry Essentials
About Our Company
At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
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.