Vice President, Compliance & Chief Compliance Officer, Clearing Operations

Job description

About Our Company We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team 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 – Ameriprise Financial, 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. Job Description: We are seeking a Vice President, Compliance & Chief Compliance Officer for American Enterprise Investment Services, Inc. (AEIS). AEIS is Ameriprise Financials’ clearing broker‑dealer, responsible for trading, clearing, custody, and the operational infrastructure that supports the firm’s wealth management platform. This position plays a critical leadership role in shaping and advancing the compliance strategy for a complex, high‑g...