National Employee Health and Benefits Compliance Consultant
Marsh McLennanAdvise Marsh McLennan Agency clients on U.S. employee health and benefits compliance. Support compliance education, training, research, and client presentations.
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Ameriprise Financial Services, LLC is a financial services company focused on personalized financial planning, investment guidance, and insurance solutions. Its advisors work directly with clients to understand their goals and develop tailored strategies, supported by research from the company’s Investment Research Group and ongoing analysis of markets and the economy. Ameriprise also provides digital access to client accounts and financial documents, with an emphasis on online security and privacy.
Senior Director, Business Unit Compliance Liaison
Lead risk, controls, regulatory reporting, and compliance governance for Ameriprise Wealth Management Solutions. Oversee governance routines, remediation, audits, and a team of risk professionals.
United States
Minnesota
North Carolina$168,800 – $225,000 / year
HybridFull-timeSeniorEnglish RequiredComplianceDescription
- Lead the centralized risk function for Wealth Management Solutions.
- Direct governance, risk, and control activities.
- Manage regulatory reporting, dashboards, general ledger reconciliations, control functions, and related reporting processes.
- Run governance routines and coordinate product, business review, risk, conflicts, and Regulation Best Interest committees.
- Coordinate risk program meetings, regulatory budgets, requests and approvals, risk events, process inventories, Risk and Control Self-Assessments, testing, and annual risk reviews.
- Oversee policies, procedures, and supervisory control governance.
- Coordinate internal and external audits, regulatory affairs requests, vendor risk oversight, licensing records and reports, certifications, and contract repository governance.
- Serve as a key contact for business partners, Internal Audit, Compliance, Legal, and regulators.
- Find control gaps and deficiencies, evaluate risk exposure and materiality, and put remediation plans in place.
- Build strong working relationships with senior leaders and enterprise partners.
- Advance continuous improvement and risk awareness across Wealth Management Solutions.
- Manage and develop risk professionals through performance reviews, coaching, mentoring, and career development.
- Encourage accountability, risk awareness, and ongoing improvement.
Requirements
- Bachelor’s degree or equivalent professional experience
- At least 10 years of financial services experience focused on risk management, controls, and broker-dealer operations
- Active FINRA Series 7 and Series 24 licenses
- Strong understanding of broker-dealer regulations and regulatory reporting frameworks
- Experience overseeing risk, governance, audits, supervisory controls, policies, licensing, vendor risk, and related programs
- Demonstrated ability to influence and collaborate across business lines and with external stakeholders
- Previous experience leading a team
- Strong relationship-building and communication skills, with the ability to identify and resolve or mitigate issues and risks
- Strong analytical, organizational, and time-management skills
- Ability to deliver results on schedule and reduce risk
- Strong written and verbal communication skills
- Ability to work independently
- Experience with advisory and investment products, annuities, insurance, and retirement plans
- Current U.S. work authorization that will not require visa sponsorship now or in the future
Benefits
- Role-dependent variable compensation, which may include bonuses, commissions, and/or long-term incentives
- Vacation leave
- Sick leave
- 401(k) plan
- Health insurance
- Dental insurance
- Life insurance
- Option to work from home one day per week
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