Manager, Wealth Management Solutions Risk Compliance Liaison

Ameriprise Financial Services, LLC•Minneapolis, MN

12d•$81,700 - $112,300•Hybrid

About The Position

The Wealth Management Solutions business group is hiring a Manager, Business Unit Risk Compliance Liaison to work with the advisory team. In this role, you will strengthen the business group's proactive risk management and support a robust compliance and supervisory program for Advisory products. Additionally, you will provide compliance guidance along with recommendations to enhance processes, policies, and procedures.

Requirements

Bachelor's degree or equivalent experience
5+ years' experience in Financial Services industry, preferably in a compliance, supervision, or product management or support function
Active Series 7
Active Series 24 or the ability to obtain in 120 days

Nice To Haves

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-starter 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
Experience working with technology resources and project testing
Ameriprise Advisory Solutions (Managed Accounts) platform knowledge
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

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 a 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.