For Recruiters
Ameriprise Financial, Inc

Sr Trade Compliance Manager

Ameriprise Financial, Inc.
Minneapolis, United States
Posted 10 days ago Permanent Competitive
Sr Trade Compliance Manager
The Senior Manager, Business Controls acts as a regulatory subject matter expert and business lead to manage daily support of equity/options order event and transaction reporting (Consolidated Audit Trail).This role will also support written supervisory procedures for equity/options trading. The Senior Manager will support the Vice President of equity/options trading desk from business perspective by interpreting and applying complex rules and regulations. This role will also provide people leadership, training, and coaching to team members.

Responsibilities

  • Supervise equity/options order event and transaction reporting (Consolidated Audit Trail).
  • Ensure regulatory and supervisory controls are in place for equity/options products and processes by acting as a point of contact for internal and external business partners; Direct and guide initiatives by validating applicable regulatory rules to business processes and enhancing processes or documentation as necessary; Participate, support department during regulatory exams and inquiries.
  • Provide oversight for the department's written supervisory procedures (WSPs) and supervisory delegate work related to equity/options.
  • Facilitate research and resolution for escalated issues, exceptions and risk incidents as point of contact for business and external senior leaders; Pro-actively identify opportunities and recommend solutions to enhance business controls.
  • Provide direction and oversight for the process documentation, confirmation, data assurance and process testing.
  • Lead, coach, and mentor other team members; Provide direct back-up to Senior Director; Act as a key lead on complex escalation issues; Serve as a key resource in special projects that have larger scale organizational impacts; Act as a liaison to risk, legal and compliance.


Required Qualifications

  • Bachelors degree or equivalent experience
  • 7+ years of relevant experience
  • Strong analytical, organizational, and time management skills
  • Strong ability to lead, partner, and influence across all leadership levels
  • Excellent written and verbal communication skills
  • Ability to drive results and meet deadlines to reduce risks
  • Must be able to work independently.
  • Demonstrated people leadership experience, either through direct leadership or coaching/mentoring role
  • Active Series 7 or ability to obtain within 120 days
  • Active Series 24 or ability to obtain within 120 days


About Our Company

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.
Job ID  25950BR
ABOUT COMPANY
Minneapolis, United States
Private Banking / Wealth Management
For 125 years, Ameriprise has remained true to our vision of putting our clients' interests first. We are passionate about helping you live the full a...
More jobs From Ameriprise Financial, Inc.
Ameriprise Financial, Inc.
Senior Director, HR Compliance and Risk
Ameriprise Financial, Inc.
Minneapolis, USA
about 11 hours ago Full time Competitive
Ameriprise Financial, Inc.
Senior Manager-Capital Markets Financial Analysis
Ameriprise Financial, Inc.
Minneapolis, USA
4 days ago Full time Competitive
Ameriprise Financial, Inc.
Senior Manager-Capital Markets Financial Analysis
Ameriprise Financial, Inc.
Minneapolis, USA
4 days ago Full time Competitive
Ameriprise Financial, Inc.
Senior IT Audit Manager
Ameriprise Financial, Inc.
Minneapolis, USA
10 days ago Full time Competitive
Ameriprise Financial, Inc.
Senior Manager - Technology Risk Office
Ameriprise Financial, Inc.
Minneapolis, USA
12 days ago Full time Competitive
Ameriprise Financial, Inc.
Senior Manager ServiceNow ITOM hybrid-Minneapolis
Ameriprise Financial, Inc.
Minneapolis, USA
17 days ago Full time Competitive
Ameriprise Financial, Inc.
Senior Marketing Manager
Ameriprise Financial, Inc.
Minneapolis, USA
2 months ago Full time Competitive
Ameriprise Financial, Inc.
Senior Manager, Quality Assurance
Ameriprise Financial, Inc.
Minneapolis, USA
2 months ago Full time Competitive
Ameriprise Financial, Inc.
Senior Manager - Global Trading Business Analyst
Ameriprise Financial, Inc.
Boston, USA
about 2 months ago Full time Competitive
Ameriprise Financial, Inc.
Manager - Compliance
Ameriprise Financial, Inc.
Boston, USA
5 days ago Full time Competitive