Minneapolis, Minnesota, United States
Compliance Officer with over 20 years of experience working in the broker-dealer, registered investment advisory and insurance industries. Compliance professional skilled in Securities, Insurance, Advertising Review, and Social Media Review. A company advocate who brings a consultative approach to promote a collaborative environment, mitigate risk, and manage advertising review, and compliance awareness.
Responsible for the administration of product and policy, compliance, and risk management activities for Third Party Products (e.g. mutual fund, alternative investments, 529 plans, insurance and annuities, etc.) including marketing materials review, AdTrax reviews, policy and risk management, product compliance and supervisory activities (WSP, SOX, PPASP, etc.), and participating in projects. Works with internal, cross-organizational business partners, and third-party partners to perform product management functions. • Complete Registered Principal review and approval of marketing, training and educational materials within aggressive time standards. • Active management of third party product policies and procedures including integrating new rules and regulations into Compliance procedures. • Support and Manage Third Party Product Compliance initiatives, provide coaching/training and actively partner on Third Party Products. • Registered Principal support for internal Ameriprise communications, training, and materials. • Provide research and analysis (quantitative and qualitative) from multiples sources and make recommendations or develop solutions to improve product processes and policies. • Participate in cross organizational initiatives representing third party products as subject matter expert. • Respond in timely manner to all regulatory and arbitration requests for information on third party products. • Lead complex and non-routine issue resolution with internal and external partners. • Identify and recommend changes to policies, procedures and reporting. • Perform as the business subject matter expert or lead on small to medium size projects.
· Review and approve company, product and advertising material for compliance with all federal and state advertising rules and regulations. · Responsible for setting broker-dealer guidelines and standards for communications with the public, both internally and externally. · Act as a subject matter expert on compliance related matters, including advertising management on compliance related risk and controls. · Monitor and update FINRA, SEC and NAIC regulations that affect industry changes to company policies to reduce company liability and potential government fines.
· Review and approval of: advertising review, outside business activities (OBAs), cash/non- cash compensation, recruiting file documents and candidates, and procedures and requirements as determined. · Partnered with our parent company, Allianz Life, and other broker-dealers, insurance companies, and compliance officers in the industry to form steering committees on industry standards, rules and regulations, and best practice. · Managed discovery and disposition of branch inspections, customer complaints, inquiries and field related disputes. · Interacted with regulatory bodies and participated in regulatory negotiations and collaboration in partnership with Field Compliance Vice Chairs. · Provided training internally and externally on compliance requirements and live case studies. · Partnered on projects and initiatives with other departments as needed. · Advised compliance team, supervisors and registered representatives in compliance related matters.
· Coordinated and directed the efforts of Regional Compliance Officers to ensure a timely execution and consistency of all securities-related advertising reviews. · Established and maintained supervisory procedures and field handbooks. · Created and delivered presentations regarding advertising review to home office and field representatives. · Maintenance of the 3020 Advertising related observations/recommendations, remediation plan, and action steps to ensure they are completed in a timely comprehensive manner.
• Handled a high volume of customer calls, emails, letters, messages, chats, etc. • Consistently resolved escalated issues to meet the customers needs. • Practiced active listening to ensure customers received the service they deserved.