Sr. Manager Business Unit Risk Compliance Liaison Sr. Manager Business Unit Risk Compliance Liaison …

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

Provide business unit compliance and risk oversight within specific business line(s) to ensure that compliance and risk policies and procedures are fully implemented. Act as a liaison to the General Counsel Office (GCO) Compliance area and segment Operational Risk groups. Support communications review for Ameriprise Marketing, including advising business partners on advertising requirements, policies and procedures for the firm and our regulatory agencies, along with reviewing communications and final approval. Manage business needs such as privacy requests, business continuity planning, vendor management, reporting, etc.

Responsibilities

  • Research high-complexity issues, gather and track related information, serve as a "go to" person for team members related to the review, 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.
  • Maintain current knowledge of industry practices and developments. Escalate issues and maintain records, as required or appropriate. Take action within authority or review with leader/GCO Compliance/Operational Risk groups prior to taking action.
  • Serve as an expert resource on assigned subjects, 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.
  • May provide mentoring to others and/or leadership to direct reports including coaching, development, and performance management.
  • 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.
  • Support communications review for Ameriprise Marketing, including advising business partners on advertising requirements, policies and procedures for the firm and our regulatory agencies, along with reviewing communications and final approval.
  • Manage business needs such as privacy requests, business continuity planning, vendor management, reporting, etc.


Required Qualifications

  • 7 - 10 years' experience.
  • Series 7 and Series 24 licenses or the ability to obtain within a defined period of time.
  • Knowledge of Ameriprise products or services, or the ability to quickly learn them.
  • Understanding of the regulations and laws that impact the assigned line of business.
  • Analytical, problem-solving, and synthesizing skills, with the ability to find the right solutions.
  • Strong Microsoft Excel skills.
  • Communication skills that enable collaboration amongst all business lines and various levels of seniority to achieve results and reduce risk.


Preferred Qualifications

  • Experience collaborating across different business lines
  • Ability to work in a fast-paced environment with a need to manage multiple deliverables
  • Attention to detail
  • Creative problem-solving skills
  • Strong relationship building skills
  • Self-starter, ability to proactively identify potential issues and propose solutions
  • Focus on personal development and teamwork
  • Ability to lead up and across to business partners and other Marketing colleagues.
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