Tiffany J. Payne
Compliance Manager Officer @Ameriprise Financial Services, LLC
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WORK HISTORY
Compliance Manager Officer @Ameriprise Financial Services, LLC
In addition to testing Supervisory Controls, I also manage the firm\'s Self-Monitoring Program and the General Counsel’s Organization’s (GCO) Safeguarding program. Additionally, I designed and maintain the team\'s Microsoft Power BI dashboard.I previously managed and uplifted the following programs: The Annual LM-10 Reporting process, and the Annual Attestation and Regulatory Disclosure Programs for the firm.
EDUCATION
Argosy University
Associate of Science (A.S.), Medical Radiologic Technology/Science - Radiation Therapist
Normandale Community College
Associate of Science (A.S.), Radiologic Technology/Science - Radiographer
Inver Hills Community College
Associates of Arts (A.A), General Studies
SKILLS
ABOUT TIFFANY J. PAYNE
I’m a Compliance Manager/Officer within the Ameriprise Legal Department who enjoys digging into details, asking the right questions, and helping teams navigate regulatory requirements in a practical, meaningful way. I’m a self-starter by nature, motivated by achieving (and exceeding) goals, and I genuinely value collaborating with others to get there.My work focuses on audit style compliance reviews of regulatory supervision and risk identification. I conduct independent research, perform control testing, and interview business partners at all levels to evaluate supervisory effectiveness and identify areas of risk. From there, I help translate findings into clear, actionable recommendations that align with firm policies, regulatory expectations, and best practices.I’m known for being analytical, detail oriented, flexible, and thoughtful in how I communicate, especially when conversations are complex or sensitive.Series 7, 24, and 66 licensed, with prior audit experience and a strong interest in process improvement, leadership, and continuous growth.
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