Responsible for the execution and maintenance of a first line of defense risk management program to support the Service & Operations (S&O) organization. In this role, the candidate will ensure corporate risk framework is fully maintained; this includes issue management, change management, risk and control self-assessment (RCSA), and key risk metrics. Ensure key controls are in place to mitigate risk (e.g., operational, regulatory, financial, etc.) and are incorporated into corporate testing framework. Ensure risk-based decision-making is integrated within business strategies, processes, and initiatives. Provide leadership, training, and coaching as appropriate. Serve as a key liaison to compliance, internal audit, and second line of defense risk management teams.

Key Responsibilities

Partner across the business to execute and maintain a first line of defense risk and control program. This includes key risk practices such as issue management, change management, governance, and risk metrics.
Ensure regulatory and supervisory controls are in place and tested with the appropriate risk framework. Act as the liaison between business teams with second/third line of defense risk teams as well as the General Counsel's Organization (GCO).
Identify and create Key Risk Indicators (KRIs) and other risk metrics to provide transparency to senior leadership and required risk forums and/or committees.
Oversee internal audits and external examinations that impact the S&O organization.
Provide leadership, performance management and improvement feedback, coaching, mentoring and development of employee direct reports.
Registered Principal supervisory responsibilities over key controls.

Required Qualifications

Bachelor's degree or equivalent.
10+ years of relevant experience.
Active FINRA Series 7 and 24.
Strong relationship and communication skills.
Ability to influence and collaborate across business lines to achieve results.
Experience with internal and regulatory audits.
Experience with risk management programs (e.g., change management) with a specific focus on ownership of issue management programs.

Preferred Qualifications

Knowledge and experience of brokerage products and operations processes within a broker-dealer
Understanding of the regulations and rules that impact clearing and introducing broker-dealers
Prior experience leading a team.

About Our Company
We're a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Base Pay Salary

The estimated base salary for this role is $128,400 - $173,300 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.

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.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Business Support & Operations

Line of Business

CLEAR Clearing