Director will-under the direction of VP-Group Counsel, Litigation & Investigations-lead a team of investigators, responsible for conducting internal investigations to assess matters representing potential risk to the enterprise, our clients and employees. Director is the day-to-day leader of the Investigations Team, managing a diverse docket while proactively communicating with senior business leaders and partnering with leaders from Compliance, Supervision and other control functions to provide effective risk mitigation and decision-making with the best available information. They will actively contribute to the ongoing development of the Investigations Team, its members and related initiatives and partner with colleagues to continually improve practices and procedures while positioning the Investigations Team to effectively and efficiently navigate an active docket of investigations. Responsibilities
- Partner with the VP-Group Counsel, Litigation & Investigations, to lead the Company's internal investigations' function, which includes:
- Leading a skilled team responsible for conducting internal investigations of potential policy violations, identifying root cause analysis, providing guidance on remediation, and advising on mitigation of risk
- Managing investigation operations, including matter intake, case assignment, analytics, reporting, key performance drivers, case handling protocols and other investigations-related policies and procedures
- Overseeing the documentation of findings and presentation of case summaries to internal stakeholders responsible for recommending and/or determining discipline and remedial measures
- Ongoing training and professional development of investigations team and identifying opportunities for informal education sessions with lines of business and content for periodic enterprise-wide training
- Partner closely and collaborate with Compliance and Supervision colleagues, as well as other internal stakeholders, including senior business leaders and subject matter experts on Investigations matters.
- Act as a key contact for internal stakeholders on Investigations matters and associated discussions that may arise from Investigations docket
- Responsibility for mitigating enterprise risk arising from Investigations matters through proactive identification and escalation of potential process issues or gaps in partnership with relevant control functions.
- Bachelor's degree or equivalent (4-years)
- 7-10 years of experience
- Extensive experience with securities industry regulations, guidelines, practices, products and services
- The ability to analyze and apply industry regulations and compliance policies to real-world situations and activities.
- Strong analytical skills, including the ability to assess potential risk and impact.
- Experience managing complex projects, including prioritizing and working alongside cross-functional teams.
- Highly professional and discrete with confidential information, along with the ability to remain impartial and influence people at all levels internally and externally.
- Excellent written and verbal communication skills, and strong interpersonal skills, with the ability to adapt to different audiences and leadership styles.
- An innovative mindset with a desire for continuous improvement
- Ability to juggle conflicting demands and effectively prioritize.
- Aptitude for learning evolving technology.
About Our Company
- An awareness of Ameriprise Financial products, services and technology/systems as well as supervisory structure preferred
- Experience leading a team
- Motivational and inspirational leader
At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.