Sr Mgr, Business Unit Risk & Compliance Liaison - Ameriprise Financial

Ameriprise Financial•Charlotte, NC

57d

About The Position

The Wealth Management Solutions (WMS) Senior Risk Manager will support risk management activities across Capital Markets, Alternative Investments, Mutual Funds, and 529 Plans. Additional responsibilities include serving as a backup for leadership functions, participating in the WMS Product Committee, overseeing REV management, and managing reporting and Written Supervisory Procedures (WSPs). Act as a liaison to the General Counsel Office (GCO) Compliance area and segment Operational Risk groups. Manage business needs such as risk management, business continuity planning, vendor management, reporting, audits, etc.

Requirements

Bachelor's degree or equivalent professional experience (4-years)
7+ years' experience in financial services
Knowledge of applicable Industry regulations.
Knowledge of complex products and services
Active Series 7
Active Series 24

Nice To Haves

Understanding of how complex investment products react to various market and economic conditions
The ability to confidently represent the firm in interactions with regulators, maintaining credibility and professionalism.
Strong relationship building skills.
Ability to proactively identify potential issues and propose solutions.
Focus on personal development and teamwork.
Ability to lead up and across to business partners.
Exceptional verbal and written communication skills.
Ability to independently and effectively manage time and prioritize work to meet multiple tight deadlines while paying strong attention to detail.
Ability to collaborate, communicate, and influence across different levels of an organization.
Ability to maintain productive working relationships with business colleagues.
Proven ability to think fast, respond quickly and learn quickly in a fast-paced environment.
Negotiation, decision making and problem-solving skills.

Responsibilities

Facilitate WMS Product Committee meetings, including coordination of the voting process.
Oversee and influence business partners and senior leaders to ensure effective development and implementation of compliance and risk policies.
Lead and manage WMS product-related compliance and risk initiatives.
Must demonstrate strong expertise in applying Reg BI, compliance, and risk management practices.
Collaborate with product teams, relationship management, due diligence, and IRG to support WMS product oversight.
Monitor evolving regulations; lead impact assessments and develop actionable solutions to maintain compliance and mitigate risk.
Coordinate and support reviews of internal and external business practices; identify gaps, propose solutions, and ensure effective compliance oversight.
Represent WMS Products as a subject matter expert in cross-organizational initiatives.
Manage timely responses to regulatory inquiries, audits, and risk/compliance testing.
Lead resolution of complex and non-routine issues with internal and external partners.
Identify and recommend updates to policies, procedures, and reporting frameworks.
Management of Written Supervisory Procedures, PPA Procedures, business procedures and polices

Benefits

We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.

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