This position has direct responsibility for appropriately managing and responding to regulatory examination requests from state and federal securities and insurance regulators as well as self-regulatory organizations. This position will draw on their knowledge of insurance and annuities laws and regulations to investigate discrete issues, conduct research, analyze related information, and make recommendations, as appropriate.Responsibilities
- Responsibilities include performing detailed analysis of requests for information, collaborating with internal stakeholders to gather responsive information, reviewing potentially responsive information in an accurate and timely manner, and fulfilling requests in order to meet regulatory expectations.
- While primary focus is examinations impacting our insurance and annuities business, the position may provide support to other examination activities from time to time on an as-needed basis.
- This position will investigate discrete issues, conduct research, analyze related information, and make recommendations, as appropriate.
- This position will interact with General Counsel's Organization (GCO) colleagues, business partners, advisors, and field leadership across the enterprise related to regulatory exams and will serve as an expert resource on specific exams and assigned pieces of other exams.
- 4 years of college degree or equivalent experience.
- 5-7 years of relevant experience.
- Ability to effectively manage multiple and competing priorities in a highly dynamic environment.
- Excellent written and verbal communication skills and analytical skills.
- Excellent interpersonal skills.
- Ability to establish credibility and build strong relationships internally and externally.
- Ability to prepare and present cases to leaders and to work across all levels of the organization.
- Energetic, service-oriented individual with a positive attitude.
- Strategic thinker, detail-oriented and meticulous with an aptitude for analysis and problem solving.
- Strong knowledge of insurance laws and regulations, and financial services industry generally (broker/dealer regulatory requirements, compliance policies and procedures).
- The ideal candidate is self-motivated with the ability to achieve results as an individual contributor and working in a team-based environment.
- Awareness of Ameriprise Financial products, services and technology/systems as well as supervisory structure preferred.
Location/Region: Minneapolis, MN