Kevin Sheehy

Manager Product Compliance and Risk Control @Ameriprise Financial Services, LLC

Minneapolis, MN, US

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 makerecommendations 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.

Gustavus Adolphus College

B.A.