Elizabeth Hansen


Vice President and Chief Compliance Officer

Ameriprise Financial


Elizabeth Hansen is Vice President Advice & Wealth Management for Ameriprise Financial and Chief Compliance Officer for American Enterprise Investment Services, the clearing broker-dealer subsidiary for Ameriprise Financial.  Her current responsibilities include the development, implementation and management of several regulatory compliance programs for the Ameriprise Advice & Wealth Management division including the retail channel, clearing and all brokerage operations. Specific areas of focus include, establishing effective and efficient compliance policies for the distribution of products, sales practice oversight, field education and risk mitigation, anti-money laundering, fraud prevention, broker-dealer operational controls and partnering with business areas on risk reduction, regulatory interaction and industry advocacy.   Elizabeth graduated from Webster University with a Masters of Arts in Business Management. Prior to coming to Ameriprise Financial, she was a former regulator with FINRA’s member and market regulation departments and was Vice President of Capital Markets Compliance for ABN AMRO in Chicago and New York.


Related Sessions

View full schedule

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org