Sr Director, Business Unit Risk and Compliance Liaison -Wealth Management

Ameriprise•Minneapolis, MN

1d•Hybrid

About The Position

The Senior Director, Business Unit Compliance Liaison is responsible for leading the centralized risk team for Wealth Management Solutions, with a focus on regulatory reporting, controls, committee governance, risk program coordination, policy oversight, and risk routines. The position will be available to candidates in Minneapolis MN and Charlotte NC.

Requirements

Bachelor’s degree or equivalent experience
10+ years of financial services experience with a focus on risk management, controls, and broker-dealer operations
Active FINRA Series 7 and Series 24 licenses required at hire
Strong knowledge of broker-dealer regulations and regulatory reporting frameworks
Experience leading risk, governance, audit, supervisory control, policy, licensing, vendor risk, and related oversight routines
Proven ability to influence and collaborate across business lines and external stakeholders
Prior team leadership experience
Strong relationship building skills - including highly effective communication skills with the ability to identify and resolve/mitigate issues or risks
Strong analytical, organizational, and time management skills
Ability to drive results and meet deadlines to reduce risks
Strong written and verbal communication skills
Must be able to work independently
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

Experience with advisory products, investment products, annuities, insurance, and retirement plans
Strong relationship building skills - including highly effective communication skills with the ability to identify and resolve/mitigate issues or risks
Strong analytical, organizational, and time management skills
Ability to drive results and meet deadlines to reduce risks
Strong written and verbal communication skills
Must be able to work independently

Responsibilities

Provide direct oversight of governance, risk, and control functions to ensure controls are designed and operating effectively to mitigate operational, financial, regulatory, and compliance risk
Oversee regulatory reporting, control functions, reporting dashboards, general ledger reconciliations, and related reporting processes
Lead governance routines and committee coordination, including product, business review, risk, conflicts, and Regulation Best Interest governance forums
Own and coordinate key governance processes, including risk program meetings, regulatory budget management, requests and approvals, Risk Event management, process inventory, Risk and Control Self-Assessment oversight, testing coordination, and annual risk assessments
Oversee policy, procedure, and supervisory control governance, including written supervisory procedures, Regulation Best Interest disclosure procedures, books and records coordination, revenue sharing procedures, communications with the public, outside business activity tracking, business continuity planning, and self-monitoring routines
Coordinate internal and external audit activities, regulatory affairs requests, vendor risk oversight, licensing tracking and reporting, senior leader and process owner certifications, and contract repository governance
Act as a primary liaison with business partners, Internal Audit, Compliance, Legal, and regulators, including participation in industry advocacy efforts
Identify control gaps and deficiencies, assess risk exposure and materiality, and implement cost-effective remediation strategies
Build strong partnerships with senior leaders across Wealth Management Solutions and enterprise business partners to support governance, risk, regulatory, and operational objectives.
Promote continuous improvement and a strong risk awareness culture across Wealth Management Solutions
Lead and develop a team of risk professionals, including performance management, coaching, mentoring, and career development
Foster a culture of accountability, risk awareness, and continuous improvement