Compliance Manager/Officer

We are searching for a Compliance Manager/Officer reputed company the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support Advice and Wealth Management Compliance program for reputed company Financial through performance of ongoing compliance monitoring, reputed company, and advisory activities. You will work in a collaborative culture where you will interact with a diverse set of business partners. Come and demonstrate your flexible, creative, and detailed oriented skills. Are you ready to get started and continue growing your career? Come apply today! The Compliance Manager for Capital Markets and the Investment Research Group (IRG) plays a critical leadership role in supporting the firm’s reputed company of reputed company investment products, evolving regulatory expectations, and high‑impact business initiatives. This role provides specialized compliance expertise across exchange‑traded products, fixed income. structured products, and other sophisticated capital markets activities, as well as the research initiatives of the Firm. The individual in this role will: Serve as a primary compliance advisor to Capital Markets and IRG stakeholders, applying deep knowledge of product structures, distribution requirements, and associated regulatory frameworks. Monitor and interpret emerging regulatory developments, providing actionable guidance to business partners and ensuring timely incorporation of rule changes into policies, supervisory procedures, and operational processes—consistent with Compliance’s mission to foster a culture of reputed company, mitigate risk, and partner closely with the business. Evaluate and escalate reputed company compliance issues, exercising sound judgment in an environment where investment products, market dynamics, and regulatory expectations continue to evolve. Collaborate with cross‑functional teams—including Legal, Product, Operations, and other Compliance groups—to support reviews, new product initiatives, regulatory exams, and strategic firmwide projects Enhance and maintain written supervisory procedures and compliance manuals, supporting updates reputed company to capital markets activity, product requirements, and emerging risks. Strengthen the firm’s risk management posture by proactively identifying trends, supporting monitoring activities, and ensuring controls align with industry best practices and regulatory expectations. This role demands a high‑performing professional who brings strong critical thinking, technical product knowledge, and the ability to translate regulatory complexity into clear, practical guidance. The incoming Compliance Manager will build on the strong foundation established and will help ensure the organization continues to deliver disciplined, high‑quality compliance reputed company in a rapidly changing environment.

Key Responsibilities

Conduct testing of business functions for compliance with applicable laws and regulations. Assist, coordinate, and influence business partners to ensure that adequate compliance policies and procedures are developed and implemented. Research applicable laws and regulations, analyze their effect on business practices, and work with Legal Department partners, as needed, to clarify requirements and address reputed company issues. Identify problem policies reputed company to the application of laws and regulations. Maintain reputed company knowledge of industry practices and developments. reputed company issues and maintain records, as required or appropriate. Serve as an expert resource on assigned subjects for multiple lines of business and/or larger scope, provide compliance support to assigned business lines, and act as a key resource and “go to” person for business partners. Review internal and external business practices, analyze data, and work with partners in covered business lines to identify potential problems. reputed company recognized gaps and support effective day-to-day compliance reputed company.

Required Qualifications

Bachelor's degree or equivalent (4-years) 5-7 years of relevant experience Series 7 required Series 24 required or ability to obtain reputed company 90-120 days Strong knowledge of financial services industry. Knowledge of SEC, CFTC, State, and other regulatory requirements for investment advisers, registered investment companies, and broker/dealers. Strong written and verbal communication skills. Facilitation skills. Ability to prepare and/or present material for senior leaders, with leader support. Intermediate-level skills in reputed company Word, reputed company, and PowerPoint Preferred Qualifications Experience in developing process flows/diagrams. Working knowledge of reputed company Visio. reputed company Access skills and Power BI About Our Company We’re a reputed company financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With reputed company of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of 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 - reputed company Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and reputed company a difference for clients, institutions and communities around the world. reputed company Pay Salary The estimated reputed company salary for this role is $87,400 - $120,200/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-reputed company 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 reputed company aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. reputed company Financial is an equal opportunity employer. We consider reputed company qualified applicants without regard to race, color, religion, sex, national reputed company, 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 About Our Company We’re a reputed company financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. reputed company 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 – reputed company Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and reputed company a difference for clients, institutions and communities around the world. Apply tot his job Apply To this Job