Sr Mgr-Business Analyst (Rate Lead)

Ameriprise Financial Services, LLC•Minneapolis, MN

20h•Hybrid

About The Position

The Senior Manager is responsible for leading key regulatory, operational, and financial processes that support compliant rate governance, accurate disclosures, and strong business continuity practices. This role provides enterprise‑level oversight across SOX‑sensitive audits, revenue and rate updates, disclosure reporting, and contract management, partnering closely with Finance, Accounts Receivable, Compliance, Legal, Operations, and Product teams. The successful candidate will serve as a thought leader, shaping strategic direction for rate governance, regulatory reporting, and operational controls across WMS Products and Platforms. This role influences cross‑functional decision‑making, champions process innovation, and sets the vision for scalable, future‑ready operational frameworks.

Requirements

Strong analytical capabilities
Experience in regulatory or financial operations
Exceptional attention to detail
Ability to lead complex, cross‑functional processes in a controlled, high‑visibility environment
Demonstrate strategic thinking
Thought leadership
Ability to influence stakeholders at all levels, driving forward‑looking improvements that elevate compliance, operational efficiency, and business resilience.
Bachelor’s degree required

Nice To Haves

5+ years of experience in financial services, asset management, brokerage operations, or a related regulatory or financial operations environment.
Demonstrated knowledge of regulatory frameworks such as FINRA, DOL, SEC, or SOX, with experience supporting audits or control‑sensitive processes.
Strong analytical and data validation skills, including proficiency with Excel or similar reporting tools.
Experience with disclosure reporting, fee/rate governance, revenue sharing processes, or other financial oversight functions.
Familiarity with contract management systems (Liferay or comparable platforms).
Proven ability to manage cross‑functional initiatives, influence stakeholders, and lead process or automation improvements.
Exceptional attention to detail, organizational discipline, and ability to manage recurring regulatory deadlines.
Strong written and verbal communication skills, with the ability to simplify complex regulatory or operational requirements.
Advanced degree or certifications (e.g., MBA, CPA, CRCM, PMP, or Lean/Six Sigma) preferred.
Series 7 Licenses Required

Responsibilities

Lead rate governance processes, including quarterly and annual rate audits, rate change reviews, accounts receivable reconciliations to validate rate accuracy, and oversight of fund/manager fee updates aligned with cost‑reimbursement programs across products and managers, while driving automation and enhancements to SOX controls.
Serve as a thought leader by proactively identifying emerging trends, risks, and industry shifts, translating them into strategic recommendations that strengthen operational readiness and regulatory alignment.
Manage regulatory and disclosure activities, including revenue‑sharing, OIBD and website updates, 5% disclosures, monthly FINRA 2241/2242 communications, and the annual Board of Directors presentation.
Conduct quarterly DOL commission reporting, OC5 cost reimbursement reporting, and support annual and mid‑year audit cycles.
Guide contract management workflows within Liferay and coordinate updates related to WMS regulatory enhancements
Maintain the business continuity plan and communication protocols, while driving continuous improvement and elevating organizational preparedness.
Champion operational excellence, fostering a culture of innovation and control‑strengthening across teams.
Lead cross‑functional initiatives to enhance processes, improve data integrity, and ensure accurate and compliant regulatory reporting.
Influence organizational strategy by providing expert insights, framing complex issues for senior leaders, and driving alignment across Finance, Operations, Legal, Compliance, and Product.