Mark Rassier
Woodbury,MN
Summary
Seasoned Senior Compliance Manager with a proven 28 year track record at Ameriprise Financial, adept in developing comprehensive compliance programs and ensuring regulatory adherence. Experienced in advertising reviews, providing compliance guidance and support to wholesaling, marketing, product manufacture, and service organizations on compliance and legal requirements. Partnered very closely with my legal contacts for alignment on guidance and opinions to be brought to the business. Experience in audit coordination and analytical thinking, significantly enhancing corporate governance and risk management. Considered the go-to person in my compliance role when dealing with ambiguous issues for resolution. Holds key FINRA registrations, demonstrating a blend of expert knowledge and effective communication skills, building valued and trusted business relationships across the entire organization.
Overview
28
28
years of professional experience
1
1
Certification
Work History
Senior Compliance Manager
Ameriprise Financial
Minneapolis, MN
10.1996 - 10.2024
- Developed and implemented comprehensive compliance programs to ensure adherence with applicable laws and regulations.
- Monitored changes in relevant legislation and regulatory guidance to ensure ongoing compliance with legal requirements.
- Conducted internal audits, investigations and risk assessments to identify areas of non-compliance and recommend corrective actions.
- Provided training and guidance on the organization's policies and procedures related to compliance activities.
- Coordinated with external auditors regarding audit plans, findings, issues, and recommendations.
- Established effective communication channels between departments for efficient information flow related to compliance matters.
- Assisted in developing strategies to reduce potential risks associated with non-compliance activities.
- Collaborated with senior management and Legal teams to develop solutions for complex compliance issues.
- Built positive working relationships with other department managers through effective communication.
- Drafted reports outlining audit results, trends, observations, conclusions, and recommendations.
- Hold Series 6,7,24 FINRA registrations. Completed and passed CRPC designation.
Education
Bachelor of Arts - Music Education K-12
University of Stevens Point Wisconsin
Stevens Point, WI05-1994
Skills
- Internal controls
- Compliance monitoring
- Audit coordination
- Legal research
- Documentation review
- Corporate governance
- Risk reviews and analysis
- Regulatory examinations
- Compliance documentation
- Quality controls
- Investigative skills
- Compliance initiatives
- Analytical thinking
- Regulatory standards
- Compliance auditing
- Training delivery
Certification
- Hold Series 6,7,24 FINRA Registrations
- Completed/passed CRPC designation
Accomplishments
- Regular recipient of awards for project work, business support and enhancements.
- Nominated numerous times for Chairman's Award for outstanding achievements for significant project work.
Timeline
Senior Compliance Manager
Ameriprise Financial
10.1996 - 10.2024
Bachelor of Arts - Music Education K-12
University of Stevens Point Wisconsin
Similar Profiles
Cody WeisnichtCody Weisnicht
Client Service Representative at Threshold Financial-Ameriprise FinancialClient Service Representative at Threshold Financial-Ameriprise Financial
SANDEEP KUMAR BOSESANDEEP KUMAR BOSE
Director, Software Engineering • Digital Marketing at AMERIPRISE FINANCIALDirector, Software Engineering • Digital Marketing at AMERIPRISE FINANCIAL
Andrea CwiklinskiAndrea Cwiklinski
Financial Analyst at Ameriprise FinancialFinancial Analyst at Ameriprise Financial
Muskan SharmaMuskan Sharma
Technology Operations Analyst at Ameriprise Financial LimitedTechnology Operations Analyst at Ameriprise Financial Limited
FREDERICK D. SPENCERFREDERICK D. SPENCER
Co-Founder & CFO at AYO WEST AFRICAN FOODSCo-Founder & CFO at AYO WEST AFRICAN FOODS