ForFutures Financial, Planning, a financial advisory practice of Ameriprise Financial Services LLC
Compliance Specialist
ForFutures Financial, Planning, a financial advisory practice of Ameriprise Financial Services LLC, Columbia, South Carolina, United States
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Compliance Specialist
role at
ForFutures Financial, Planning, a financial advisory practice of Ameriprise Financial Services LLC
What We Do Provides a wide range of support and is responsible for administering and performing assigned compliance program activities. Performs routine legal research, and compiles data, and serves as contact/liaison for assigned area/function.
How You'll Contribute
Provides administrative support on compliance programs, activities and examinations. Serves as contact/liaison for assigned area/function.
Collects and collates legal research and information from a wide variety of sources.
Performs reviews of policies, procedures, controls, and performance to ensure compliance with corporate policy and external regulations for assigned area. Reports results to management and evaluates and recommends corrective action utilizing regulatory guidance and best practices; conducts follow‑up.
Depending on assigned area/function, may participate in various projects that impact national agents and conduct annual underwriting review of national agents.
Monitors and updates action plans; follows up with responsible parties to ensure tasks are completed when due.
Generates compliance reports and spreadsheets as needed for both internal and external business needs, which may include high‑level committees and federal regulators.
Provides scheduling, tracking, reporting and/or database support to programs.
Maintains quality customer service and relationships with internal and/or external clients and contacts.
Remains current with regulatory environment and existing regulations; assesses potential impact of potential regulatory changes and provides commentary as appropriate.
Assists with the development and implementation of a compliance monitoring/control program for assigned areas of the organization; including tracking procedures, systems, training, documentation, and self‑assessment.
May assist in coordinating staff training programs for assigned areas of the organization, such as code of ethics certifications and monitoring for insider trading.
Provides other administrative support to legal department.
May be responsible for compliance activities in a broader, more complex area, or for multiple areas.
Follows functional area’s processes and procedures in daily activities, troubleshoots as needed and recommends suggestions for continuous improvements to overall operations.
Actively contributes to the results of a team and works toward achieving goals and objectives.
Other duties as assigned.
What You'll Bring
Bachelor's degree or equivalent combination of education and experience
1‑3 years of experience
KNOWLEDGE, SKILLS, AND ABILITIES (KSAs)
Working knowledge of fundamental concepts, practices and procedures of department/field
Possesses and applies a working knowledge of principles, practices, and procedures of particular field of specialization to the completion of difficult assignments.
Experience in a particular area, such as banking/trust, title insurance and settlements, licensing, federal and state rules and regulations of these areas, etc.
Working knowledge of the law library, state and federal regulations, code sections, legal decisions and Commerce Clearing House volumes
Knowledge of laws and regulations applicable to legal entities, real property, title insurance, and settlement
Research and summation skills
Analytical and investigative skills
Detail‑oriented
Good verbal and written communication skills
Establishes effective working relationships at the work group level.
COMPLEXITIES & IMPACT
Uses established procedures to perform assigned tasks. Work is routine
Instructions may be detailed for new assignments
Follows functional area’s processes and procedures in daily activities, troubleshoots as needed and recommends suggestions for continuous improvements to overall operations.
Actively contributes to the results of a team and works toward achieving goals and objectives.
SUPERVISION RECEIVED OR EXTENDED
No responsibility for the supervision of others
Works under supervision applying established techniques, procedures or specific standards
Work may be reviewed for soundness of judgment and overall accuracy
The pay range for this role is $50,800.00 - $67,725.00
The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified. All personnel may be required to perform duties outside of their normal work hours and/or responsibilities from time to time, as needed.
By choice, we don’t simply accept individuality – we embrace it, we support it, and we thrive on it! Our People First Culture celebrates diversity, equity and inclusion not simply because it’s the right thing to do, but also because it’s the key to our success. We are proud to foster an authentic and inclusive workplace for All. You are free and encouraged to bring your entire, unique self to work. First American is an equal opportunity employer in every sense of the term.
Based on eligibility, First American offers a comprehensive benefits package including medical, dental, vision, 401k, PTO/paid sick leave and other great benefits like an employee stock purchase plan.
Seniority level
Entry level
Employment type
Full-time
Job function
Finance and Sales
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Compliance Specialist
role at
ForFutures Financial, Planning, a financial advisory practice of Ameriprise Financial Services LLC
What We Do Provides a wide range of support and is responsible for administering and performing assigned compliance program activities. Performs routine legal research, and compiles data, and serves as contact/liaison for assigned area/function.
How You'll Contribute
Provides administrative support on compliance programs, activities and examinations. Serves as contact/liaison for assigned area/function.
Collects and collates legal research and information from a wide variety of sources.
Performs reviews of policies, procedures, controls, and performance to ensure compliance with corporate policy and external regulations for assigned area. Reports results to management and evaluates and recommends corrective action utilizing regulatory guidance and best practices; conducts follow‑up.
Depending on assigned area/function, may participate in various projects that impact national agents and conduct annual underwriting review of national agents.
Monitors and updates action plans; follows up with responsible parties to ensure tasks are completed when due.
Generates compliance reports and spreadsheets as needed for both internal and external business needs, which may include high‑level committees and federal regulators.
Provides scheduling, tracking, reporting and/or database support to programs.
Maintains quality customer service and relationships with internal and/or external clients and contacts.
Remains current with regulatory environment and existing regulations; assesses potential impact of potential regulatory changes and provides commentary as appropriate.
Assists with the development and implementation of a compliance monitoring/control program for assigned areas of the organization; including tracking procedures, systems, training, documentation, and self‑assessment.
May assist in coordinating staff training programs for assigned areas of the organization, such as code of ethics certifications and monitoring for insider trading.
Provides other administrative support to legal department.
May be responsible for compliance activities in a broader, more complex area, or for multiple areas.
Follows functional area’s processes and procedures in daily activities, troubleshoots as needed and recommends suggestions for continuous improvements to overall operations.
Actively contributes to the results of a team and works toward achieving goals and objectives.
Other duties as assigned.
What You'll Bring
Bachelor's degree or equivalent combination of education and experience
1‑3 years of experience
KNOWLEDGE, SKILLS, AND ABILITIES (KSAs)
Working knowledge of fundamental concepts, practices and procedures of department/field
Possesses and applies a working knowledge of principles, practices, and procedures of particular field of specialization to the completion of difficult assignments.
Experience in a particular area, such as banking/trust, title insurance and settlements, licensing, federal and state rules and regulations of these areas, etc.
Working knowledge of the law library, state and federal regulations, code sections, legal decisions and Commerce Clearing House volumes
Knowledge of laws and regulations applicable to legal entities, real property, title insurance, and settlement
Research and summation skills
Analytical and investigative skills
Detail‑oriented
Good verbal and written communication skills
Establishes effective working relationships at the work group level.
COMPLEXITIES & IMPACT
Uses established procedures to perform assigned tasks. Work is routine
Instructions may be detailed for new assignments
Follows functional area’s processes and procedures in daily activities, troubleshoots as needed and recommends suggestions for continuous improvements to overall operations.
Actively contributes to the results of a team and works toward achieving goals and objectives.
SUPERVISION RECEIVED OR EXTENDED
No responsibility for the supervision of others
Works under supervision applying established techniques, procedures or specific standards
Work may be reviewed for soundness of judgment and overall accuracy
The pay range for this role is $50,800.00 - $67,725.00
The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified. All personnel may be required to perform duties outside of their normal work hours and/or responsibilities from time to time, as needed.
By choice, we don’t simply accept individuality – we embrace it, we support it, and we thrive on it! Our People First Culture celebrates diversity, equity and inclusion not simply because it’s the right thing to do, but also because it’s the key to our success. We are proud to foster an authentic and inclusive workplace for All. You are free and encouraged to bring your entire, unique self to work. First American is an equal opportunity employer in every sense of the term.
Based on eligibility, First American offers a comprehensive benefits package including medical, dental, vision, 401k, PTO/paid sick leave and other great benefits like an employee stock purchase plan.
Seniority level
Entry level
Employment type
Full-time
Job function
Finance and Sales
#J-18808-Ljbffr