Manager, Business Unit Risk Compliance Liaison Manager, Business Unit Risk Compliance Liaison …

Ameriprise Financial, Inc.
in Minneapolis, MN, United States
Permanent, Full time
Be the first to apply
Ameriprise Financial, Inc.
in Minneapolis, MN, United States
Permanent, Full time
Be the first to apply
Manager, Business Unit Risk Compliance Liaison
Job Description

The Wealth Management Solutions business group is hiring for a Manager, Business Unit Risk Compliance Liaison to work within the Third Party Product team. This position will assist, oversee, and influence business partners and senior business leaders for multiple lines of business and/or larger scope initiatives to ensure that adequate compliance policies and procedures are developed, implemented and maintained. The person coming into this position will play an active role with S24 reviews/approvals, Written Supervisory Procedure (WSP) supervision, business controls and audits of advisor/client support activities, as well as compliance support.


• Supporting the review of internal and external business practices and data analysis.
• Partnering with designated business line teams to identify potential problems, close recognized gaps and ensure effective, day-to-day compliance oversight.
• Managing a robust and diverse compliance, risk, and operational program across an active suite of product and program partners.
• Maintaining and updating control structures, procedures, and documentation.
• Managing documentation, scheduling, conducting internal audits and self-monitoring for WSPs, Pension Protection Act (PPA), Risk, GCDs, and Sarbanes-Oxley Act (SOX).
• Providing support for regulatory exams, intermediary assessments/due diligence, books and records.
• Investigating high-complexity issues, research and track related information, serve as a "go to" person for team members related to the investigation, and make decisions/problem solve as appropriate, then guide business leaders regarding potential changes.
• Reviewing marketing materials, advisor training and education event reviews/approvals/oversight.

Required Qualifications

• Bachelor's degree or equivalent experience
• 5+ years' experience in Financial Services industry, preferably in compliance, supervision, or product management
• Knowledge of Ameriprise products/services or the ability to quickly learn
• Demonstrated experience in leading small- to medium-scale projects to successful completion
• Demonstrated capability in standard Microsoft Office applications: Word, PowerPoint, Excel
• Excellent organizational and time management skills
• Ability to maintain a high degree of confidentiality
• Ability to influence and collaborate across teams and at all levels to drive results
• Excellent analytical and problem-solving skills
• Active Series 7 or the ability to obtain in 120 days
• Active Series 24 or the ability to obtain in 120 days

Preferred Qualifications

Experience with Microsoft Office Access and Visio applications

About Our Company

With the right company, life can Be Brilliant®. 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 and we can Be Brilliant® together.

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.
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