Sr. Manager, Business Unit Risk & Compliance Liaison - Wealth Management

Ameriprise Financial Services, LLC•Minneapolis, MN

3d•$93,400 - $128,400•Hybrid

About The Position

Support the centralized risk function for Wealth Management Solutions, with a focus on regulatory reporting, controls, committee governance, risk program coordination, policy oversight, and risk routines. This role partners with business leaders, risk partners, Compliance, Legal, Internal Audit, and other stakeholders to help identify, assess, monitor, and mitigate risk across Wealth Management Solutions. The position will be available to candidates in Minneapolis, MN and Charlotte, NC.

Requirements

5+ years of financial services, risk management, controls, compliance, audit, broker-dealer operations, or related experience
Bachelor’s degree or equivalent experience
Active FINRA Series 7 and Series 24 licenses, or ability to obtain within an established timeframe
Demonstrated ability to influence and partner across all levels of leadership
Experience leading initiatives, driving outcomes, and managing competing priorities
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

Nice To Haves

Experience with advisory products, investment products, annuities, insurance, and retirement plans

Responsibilities

Support governance, risk, and control routines to help ensure controls are designed, documented, and operating effectively to mitigate operational, financial, regulatory, and compliance risk
Prepare and maintain regulatory reporting, control documentation, reporting dashboards, general ledger reconciliations, and related reporting processes
Coordinate governance routines and committee materials, including product, business review, risk, conflicts, and Regulation Best Interest governance forums
Support key governance processes, including risk program meetings, regulatory budget requests and approvals, Risk Event management, process inventory, Risk and Control Self-Assessment activities, testing coordination, and annual risk assessments
Maintain policy, procedure, and supervisory control governance routines, including written supervisory procedures, Regulation Best Interest disclosure procedures, books and records coordination, revenue sharing procedures, outside business activity tracking, business continuity planning, and self-monitoring routines
Coordinate internal and external audit requests, regulatory affairs responses, vendor risk activities, licensing tracking and reporting, senior leader and process owner certifications, and contract repository governance
Partner with business stakeholders, Internal Audit, Compliance, Legal, and other risk partners to support issue resolution and risk-informed decision making
Identify control gaps and process improvement opportunities, assess potential risk exposure, and help implement practical remediation plans
Promote continuous improvement and a strong risk awareness culture across Wealth Management Solutions