Senior Audit Manager

Ameriprise Financial Services, LLC • Minneapolis, MN

5d • $122,400 - $168,300 • Hybrid

About The Position

Ameriprise Financial is seeking a Senior Audit Manager to plan and execute complex portions of the Risk & Control Services plan, including audit and SOX/MAR/FDICIA compliance activities. The role presents objectives and results to multiple levels of management and uses a structured approach to evaluate and improve risk management, control, and governance processes. The Senior Audit Manager may lead audits or other Risk and Control Services activities, supervise projects, provide leadership to colleagues, and manage the scope, schedule, and deliverables of assigned work.

This position completes risk assessments, identifies and evaluates control deficiencies, and recommends cost-effective improvements. It monitors Management Action Plans and recommends closure when actions are complete and deficiencies have been addressed. The role coordinates with control groups, escalates obstacles, and helps ensure work is completed on time. It also recommends changes to the Risk and Control Services plan, processes, and methodologies as appropriate.

Employees work in the office at least four days per week and may work from home one day per week. Some roles may have different or additional in-office requirements, which will be discussed during hiring. Applicants must have valid U.S. work authorization that does not now or in the future require visa sponsorship. The estimated base salary is $122,400–$168,300 per year. The role may also be eligible for variable compensation, including bonuses, commissions, and/or long-term incentives. The company describes its benefits program as including vacation time, sick time, 401(k), and health, dental, and life insurance.

Requirements

• Bachelor’s degree.
• At least 5 years of experience.
• Experience leading multiple projects.
• Expanded knowledge and understanding across multiple lines of business, and/or ability to develop knowledge and understanding in a critical subject matter area.
• Ability to transfer knowledge and help others expand audit skills and business knowledge.
• Ability to coordinate with appropriate control groups in planning and executing assigned work.
• Solid knowledge and proper application of control and audit theory.
• Valid U.S. work authorization that does not now or in the future require visa sponsorship.

Nice To Haves

• Finance or Accounting degree.
• CIA, CISA, CPA, or CFSA certification.
• Financial services experience.

Responsibilities

• Plan and execute complex portions of the Risk & Control Services plan, including audit and SOX/MAR/FDICIA compliance activities.
• Present work objectives and results to management, emphasizing the impact of control deficiencies.
• Evaluate and improve the effectiveness of risk management, control, and governance processes.
• Identify control deficiencies, assess their exposure and significance, and propose cost-effective recommendations.
• Monitor and validate Management Action Plan status; recommend closure when actions are complete and the identified deficiency has been addressed.
• Supervise and lead assigned projects, providing leadership to peers and others as needed.
• Manage the scope, schedule, and deliverables of assigned work.
• Proactively communicate or escalate challenges and roadblocks that could affect established timelines.
• Coordinate with appropriate control groups in planning and executing assigned work, and ensure work is completed within established timelines.
• Complete risk assessments in conformance with department standards, generally in complex areas.
• Recommend changes to the Risk and Control Services plan to focus efforts on risk areas and provide value to stakeholders.
• Recommend changes to Risk and Control Services processes and methodologies, as appropriate.

Benefits

• Vacation time
• Sick time
• 401(k)
• Health insurance
• Dental insurance
• Life insurance
• Variable pay may include bonuses, commissions, and/or long-term incentives, depending on the role.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior