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.
Joe Fleming
Chief Compliance Officer, Advice and Wealth Management at Ameriprise Financial
Minneapolis, Minnesota, United States
Overview
Topics They Care 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.
Regulatory Policy
He frequently serves on FINRA and SIFMA committees and is a regular presenter at industry conferences, shaping regulatory dialogue.
Media Appearances
Joe has no verified media appearances
Work History
10-2017
Chief Compliance Officer, Advice and Wealth Management at Ameriprise Financial
1-2014
Adjunct Professor at University of St. Thomas School of Law
12-2005 - 10-2017
Chief Compliance Officer at RBC Wealth Management
10-1997 - 12-2005
Chief Compliance Officer at Piper Jaffray
Education
1987 - 1990
Education details unavailable from University of Minnesota Law School
1983 - 1987
Bachelor of Arts (B.A.) from University of St. Thomas
More Information
Social Presence :
Prographics :
Exp : 28
Location : Minneapolis, Minnesota, United States
Job Level : Leadership
Designation : Chief Compliance Officer, Advice and Wealth Management at Ameriprise Financial
