Risk Management Manager

Ameriprise Financial Services, LLC•Minneapolis, MN

2d•$87,400 - $110,000•Hybrid

About The Position

Provide operational and/or financial risk management by leading the organization in critical risk control development and day-to-day risk oversight. Provide project support and lead process reviews identifying risk and developing solutions while maintaining regulatory and supervisory controls. Serve as an escalation point of contact/risk liaison by working closely with business leaders, staff, and external partners to ensure appropriate information exchange and to drive forward risk reducing recommendations and actions.

Requirements

Education: Bachelors 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.
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Nice To Haves

Active FINRA Series 7 license.
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.

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).