Description
Key Responsibilities
Facilitate alignment, resolve escalated issues and provide a point of contact for business and external senior leaders. Identify and reduce risk through system and process validation, ensure system reporting and systems displays are accurate and compliant. Provide expertise to other areas for enhancement and implementation of Self –Monitoring plans.
Ensure regulatory and supervisory controls are in place for products and processes by acting as a point of contact for internal, external business partners, such as Compliance, Legal, Products, and senior leaders. Direct and guide initiatives by validating applicable SEC or FINRA rules to business processes and enhancing processes or documentation as necessary.
Review reports illustrating risk parameters and metrics associated with business lines. Ensure data sources have high integrity and appropriate risk measures are used. Mitigate risk by developing and/or monitoring operational metrics across business. Initiate and/or conduct Risk Assessments across business.
Develop and enhance risk measurement policies, procedures and metrics.
Enhance risk reporting with new ideas gathered from research, best practices, and knowledge.
Lead operational and regulatory audits (i.e. NASD/SEC, FINRA, Sarbanes Oxley).
Required Qualifications
Education: Bachelor's degree or equivalent.
Experience: 3-5 years of relevant experience.
Strong analytical, organizational, and time management skills.
Strong ability to lead, partner, and influence across all leadership levels.
Excellent written and verbal communication skills.
Ability to drive results and meet deadlines to reduce risks.
Must be able to work independently.
Demonstrated people leadership experience, either through direct leadership or coaching/mentoring roles.
About Our Company
We’re a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
Full-Time/Part-Time
Exempt/Non-Exempt
Job Family Group
Line of Business
Requisition Number
R24_0000003561