LogoFresh Jobs Ahead
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
5001 – 10 000 Darbinieki
ApdrošināšanaFinansesKonsultācijas
Ameriprise Financial Services, LLC ir finanšu pakalpojumu uzņēmums, kas koncentrējas uz personalizētu finanšu plānošanu, ieguldījumu konsultācijām un apdrošināšanas risinājumiem. Tā konsultanti strādā tieši ar klientiem, lai izprastu viņu mērķus un izstrādātu pielāgotas stratēģijas. Šo darbu atbalsta uzņēmuma Investment Research Group pētījumi, kā arī nepārtraukta tirgu un ekonomikas analīze. Ameriprise nodrošina arī digitālu piekļuvi klientu kontiem un finanšu dokumentiem, īpašu uzmanību pievēršot tiešsaistes drošībai un privātumam.
LinkedIn
Vakances uzņēmumā

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.

USAmerikas Savienotās ValstisMNMinesotaNCZiemeļkarolīna
168 800 $ – 225 000 $ / gads
HibrīdiPilna slodzeVecākais speciālistsNepieciešamā Valoda: angļuAtbilstība

Apraksts

  • 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.

Prasības

  • 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

Priekšrocības

  • 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

Saistītās vakances

CVS Health

CVS Health Business Compliance Manager, Requests for Information

CVS Health
MazumtirdzniecībaVeselības apdrošināšanaVeselības aprūpe
USAmerikas Savienotās ValstisALAlabamaAZArizonaCTKonektikutaFLFloridaKSKanzasaKYKentukiLALuiziānaNJŅūdžersijaNCZiemeļkarolīnaOHOhaioOKOklahomaPAPensilvānijaRIRodailendaTNTenesīTXTeksasa
66 330 $ – 145 860 $ / gads
HibrīdiPilna slodzeVecākais speciālistsVadošais speciālistsNepieciešamā Valoda: angļuAtbilstība

Oversee regulatory information requests across CVS Health operations and jurisdictions. Lead analysts and coordinate compliant responses with Legal, Compliance, and Operations.

Atvērt
Syneos Health

Country Regulatory Specialist, NAMER Clinical Trial Submissions

Syneos Health
H1B vīzas sponsorsKonsultācijasLoģistikaVeselības aprūpe
USAmerikas Savienotās ValstisNCZiemeļkarolīna
67 700 $ – 115 100 $ / gads
HibrīdiPilna slodzeVidējais līmenisVecākais speciālistsNepieciešamā Valoda: angļuAtbilstība
Google Cloud Platform

Lead country-level regulatory work for clinical trial submissions and approvals at Syneos Health. Coordinate timelines, authorities, ethics committees, and compliance across assigned projects.

Atvērt
Thomson Reuters

Senior Compliance Analyst, Products

Thomson Reuters
H1B vīzas sponsorsApdrošināšanaJuridiskie pakalpojumiKonsultācijas
USAmerikas Savienotās ValstisMNMinesota
74 200 $ – 137 800 $ / gads
HibrīdiPilna slodzeVecākais speciālistsNepieciešamā Valoda: angļuAtbilstība
Tableau

Lead compliance for Thomson Reuters’ Products segment, focusing on high-risk products and use cases. Support investigations, regulatory controls, and AI-enabled monitoring across legal technology products.

Atvērt