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Ameriprise Financial has more than 110 years of history providing financial solutions to help clients plan for and achieve their financial objectives.

Based in Minneapolis, Ameriprise Financial is a leading financial planning and services company with approximately 10,000 financial advisors providing solutions for clients' asset accumulation, income management and insurance protection needs. Our financial advisors
deliver tailored solutions to clients through a comprehensive and personalized financial planning approach built on a long-term relationship with a knowledgeable advisor. We specialize in meeting the retirement-related financial needs of the mass affluent and affluent.

Assist, oversee and influence business partners on annuity product development and distribution to ensure that adequate compliance policies and procedures are developed and implemented.

This position will provide ad-hoc support when needed to the RiverSource Regulatory Team in order to ensure timely and quality responses to requests from State Insurance Departments.

Coordinate regulatory exams and inquiries, lead response team, respond to inquiries from agencies on an as needed basis.

Investigate high-complexity issues, gather/research and track related information, serve as a "go to" person for team members related to the investigation, and make decisions and/or recommendations, as appropriate.

Assist, oversee and influence business partners to ensure that adequate compliance policies and procedures are developed and implemented.

Research applicable laws and regulations, analyze their effect on business practices, and work with Legal Department partners as needed to clarify requirements and address related issues. Identify problem policies related to the application of laws and regulations.

Maintain current knowledge of industry practices and developments .

Escalate issues and maintain records as required or appropriate. Review with leader prior to taking action

Serve as an expert compliance resource on assigned subjects for the annuity business.

Review internal and external business practices, analyze data, and work with partners in covered business lines to identify potential problems, close recognized gaps and support effective day-to-day compliance oversight.

Required Skills:
- Series 7 license a required
- Strong knowledge of annuity product designs
- Excellent understanding of annuity distribution capabilities, including AnnuityNet and other electronic business submission methods
- 5+ years Compliance experience
- Strong knowledge of regulatory environment and annuity distribution rules, including Rule 2821
- Ability to manage multiple projects/initiatives simultaneously
- Ability to respond to regulatory inquiries, surveys, and exams directed at RiverSource Life Insurance Company
- Research applicable laws and regulations, analyze their effect on business practices and work with Legal Department to clarify and address issues
- Assist in suitability reviews of insurance and annuity product sales
- Excellent analytical, problem solving and organizational skills
- Project management skills
- Strong written and verbal communication skills
- Ability to influence appropriate peers, business partners, regulators and leaders to achieve acceptable compliance results


Ameriprise Financial Services, Inc., Member FINRA and SIPC, is an equal opportunity employer. ý 2009 Ameriprise Financial, Inc. All rights reserved.