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

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
Senior 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 with the advisory team. This position will support robust compliance and supervisory Advisory programs. This role will also provide compliance guidance along with recommendations to enhance processes, policies, and procedures.


• Research high-complexity issues, gather and track related information, serve as a "go to" person for team members related to the research, and make recommendations, as appropriate. Guide business leaders regarding potential changes.
• Work with business partners and senior leaders to implement business policies and/or procedures.
• Understand applicable laws and regulations, analyze their effect on business practices, and work with the General Counsel Office, Compliance Department and Operational Risk areas as needed to clarify requirements and address related issues.
• Serve as an expert resource on assigned subjects, lead projects, provide support to assigned business lines, act as a key resource and "go to" person for business partners, and influence appropriate business partners and leaders with respect to key business initiatives. Spot trends and influence change.
• Work with and support the GCO during regulatory exams and inquiries. Establish/lead the response team and present results to senior leaders. Participate in Operational Risk activities, as requested.

Required Qualifications

• Bachelor's degree or equivalent experience
• 7+ years' experience in Financial Services industry, preferably in a compliance, supervision, or product management or support function
• 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 and Excel
• Self-started with excellent attention to detail, 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 working with technology resources and project testing
• Ameriprise Advisory Solutions (Managed Accounts) platform knowledge
• Experience maintaining and completing processes, audits, procedures and disclosures
• Experience collaborating cross-organizational Ameriprise teams and working with various Ameriprise systems
• Proven experience "connecting the dots" between complex, and not always obvious, concepts
• Experience with Microsoft Office applications: Access and PowerPoint

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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