The Wealth Management Solutions business group is hiring for a Manager, Business Unit Risk Compliance Liaison to work with the advisory team. This position will strengthen the business group's proactive risk management and support a robust compliance and supervisory program for Advisory products. This role will also provide compliance guidance along with recommendations to enhance processes, policies, and procedures.
Key Responsibilities
Review moderate-complexity issues, gather/research and track related information, and make recommendations, as appropriate.
Work with business partners and senior leaders to implement business policies and/or procedures.
Conduct proactive outreach to field members related to policies and procedures for Advisory products.
Lead assigned audits of internal business processes from start to finish, including conducting the audit, escalating any identified defects, and documenting audit outcomes for senior leaders.
Understand applicable laws and regulations, analyze their effect on business practices, and work with the General Counsel Office Compliance Department and Operational Risk areas as needed to clarify requirements and address related issues.
Serve as resource on assigned subjects, provide support to assigned business lines, act as a key resource and go to" person for business partners, and influence appropriate business partners and leaders with respect to key business initiatives. Spot trends and influence change.
Work with and support the GCO during regulatory exams and inquiries. Establish/lead the response team and present results to senior leaders. Participate in Operational Risk activities, as requested.
Required Qualifications
Bachelor's degree or equivalent experience
5+ years' experience in Financial Services industry, preferably in a compliance, supervision, or product management or support function
Knowledge of Ameriprise products/services or the ability to quickly learn.
Demonstrated experience in leading small- to medium-scale projects to successful completion.
Demonstrated capability in standard Microsoft Office applications: Word and Excel
Self-started with excellent attention to detail, organizational and time management skills.
Ability to maintain a high degree of confidentiality.
Ability to influence and collaborate across teams and at all levels to drive results.
Excellent analytical and problem-solving skills
Active Series 7 or the ability to obtain in 120 days
Active Series 24 or the ability to obtain in 120 days
Preferred Qualifications
Experience working with technology resources and project testing
Experience maintaining and completing processes, audits, procedures and disclosures
Experience collaborating cross-organizational Ameriprise teams and working with various Ameriprise systems
Proven experience "connecting the dots" between complex, and not always obvious, concepts
Experience with Microsoft Office applications: Access and PowerPoint
About Our Company We're a diversified financial services leader with more than $1 trillion in assets under management and administration. Our team of 20,000 people in more than 20 countries advise, manage and protect the assets and income of more than 2 million individual, small business and institutional clients. We are a long-standing 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 Services, 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.
