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Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
5 001 – 10 000 Darbuotojai
DraudimasFinansaiKonsultavimas
„Ameriprise Financial Services, LLC“ yra finansinių paslaugų įmonė, daugiausia dėmesio skirianti individualiam finansų planavimui, investavimo konsultacijoms ir draudimo sprendimams. Jos konsultantai tiesiogiai dirba su klientais, kad suprastų jų tikslus ir parengtų jiems pritaikytas strategijas. Šį darbą papildo įmonės „Investment Research Group“ tyrimai ir nuolatinė rinkų bei ekonomikos analizė. „Ameriprise“ taip pat suteikia skaitmeninę prieigą prie klientų sąskaitų ir finansinių dokumentų, daug dėmesio skirdama saugumui internete ir privatumui.
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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.

USJungtinės ValstijosMNMinesotaNCŠiaurės Karolina
168 800 $ – 225 000 $ / metai
HibridinisVisas etatasVyresnysis specialistasPrivaloma Kalba: anglųAtitiktis

Aprašymas

  • 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.

Reikalavimai

  • 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

Privalumai

  • 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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