Joe Fleming in

Joe Fleming

Chief Compliance Officer, Advice and Wealth Management at Ameriprise Financial
📍 Minneapolis, Minnesota, United States

Joe Fleming is a veteran Chief Compliance Officer with extensive experience leading compliance for the Advice and Wealth Management division at Ameriprise Financial. His career includes CCO roles at RBC Wealth Management and Piper Jaffray. He earned his law degree from the University of Minnesota Law School and also serves as an adjunct professor.

Outside of his corporate and academic roles, Joe appears to be involved in his local community, showing support for Minnesotas public television network. This suggests an appreciation for public media and local arts and culture.

He has dedicated part of his career to legal education, having taught as an adjunct professor at two different law schools.

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Experience
28 Years
Current Role
Chief Compliance Officer, Advice and Wealth Management
Job Level
Leadership
Location
Minneapolis, Minnesota, United States
Personality Overview
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Priorities

Topics Joe cares about

Financial Compliance
He has built a long career as the Chief Compliance Officer for major financial firms including Ameriprise Financial, RBC Wealth Management, and Piper Jaffray.
Wealth Management
His specific focus at Ameriprise is on Advice and Wealth Management, overseeing the entire compliance strategy for this division.
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Career

Work history

10-2017
Chief Compliance Officer, Advice and Wealth Management
Ameriprise Financial
1-2014
Adjunct Professor
University of St. Thomas School of Law
12-2005 - 10-2017
Chief Compliance Officer
RBC Wealth Management
10-1997 - 12-2005
Chief Compliance Officer
Piper Jaffray
In the press

Media appearances

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Education
1987 - 1990
Education details unavailable
University of Minnesota Law School
1983 - 1987
Bachelor of Arts (B.A.)
University of St. Thomas
Social presence
in

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