This position is responsible for providing administrative support for Ameriprise Franchise Group (AFG) Employee RP who are responsible supervision of the sales and suitability of an advisors entire book of business. The Compliance Coordinator will be responsible for various day-to-day tasks, including assisting in the preparation of documentation for Practice Assessments.
Key Responsibilities
- Assist with preparation for Practice Assessments, including required usage of the Field RP Support team (Field RP Bot and Environmental Scan), SPOT and the Account and Client Monitoring Hub.
- Preparing Agenda and periodically meeting with the Employee RP to review outstanding items and participate in SRRM and FFVP 1:1s as needed.
- Assist with uploading of documentation into the RP Documentation tool.
- Assist with scheduling of travel, advisor meetings (1:1s, Practice Assessments, etc.) and management of expenses as necessary
- Proactively reach out to Employee RPs on overdue RP Tasks. Assist the Employee RP with follow-up requests as needed.
Required Qualifications
Bachelor s degree or equivalent
1-3 years of relevant experience
Understanding of the US financial system, products, services, and regulatory system.
Excellent communication skills
Relevant experience of working in similar functions
Good analytical and research skills
Preferred Qualifications
Intermediate level of MS Excel and MS Access
Knowledge of US financial system, regulatory environment, financial products/services.
