Director, Risk Management

Ameriprise Financial • Minneapolis, NC

249d • $128,400 - $173,300

About The Position

Responsible for the execution and maintenance of a first line of defense risk management program to support the Service & Operations (S&O) organization. In this role, the candidate will ensure corporate risk framework is fully maintained; this includes issue management, change management, risk and control self-assessment (RCSA), and key risk metrics. Ensure key controls are in place to mitigate risk (e.g., operational, regulatory, financial, etc.) and are incorporated into corporate testing framework. Ensure risk-based decision-making is integrated within business strategies, processes, and initiatives. Provide leadership, training, and coaching as appropriate. Serve as a key liaison to compliance, internal audit, and second line of defense risk management teams.

Requirements

• Bachelor's degree or equivalent.
• 10+ years of relevant experience.
• Active FINRA Series 7 and 24.
• Strong relationship and communication skills.
• Ability to influence and collaborate across business lines to achieve results.
• Experience with internal and regulatory audits.
• Experience with risk management programs (e.g., change management) with a specific focus on ownership of issue management programs.

Nice To Haves

• Knowledge and experience of brokerage products and operations processes within a broker-dealer.
• Understanding of the regulations and rules that impact clearing and introducing broker-dealers.
• Prior experience leading a team.

Responsibilities

• Partner across the business to execute and maintain a first line of defense risk and control program. This includes key risk practices such as issue management, change management, governance, and risk metrics.
• Ensure regulatory and supervisory controls are in place and tested with the appropriate risk framework. Act as the liaison between business teams with second/third line of defense risk teams as well as the General Counsel's Organization (GCO).
• Identify and create Key Risk Indicators (KRIs) and other risk metrics to provide transparency to senior leadership and required risk forums and/or committees.
• Oversee internal audits and external examinations that impact the S&O organization.
• Provide leadership, performance management and improvement feedback, coaching, mentoring and development of employee direct reports.
• Registered Principal supervisory responsibilities over key controls.

Benefits

• Vacation time
• Sick time
• 401(k)
• Health insurance
• Dental insurance
• Life insurance

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Credit Intermediation and Related Activities
• Education Level: Bachelor's degree