Key Responsibilities
- Prepare financial and regulatory reports for clearing and introducing broker-dealers. This will include responsibilities for daily, monthly, and quarterly regulatory reporting processes for multiple legal entities.
- Prepare journal entries including the month end close as well as preparation of financial statements in accordance with GAAP (Generally Accepted Accounting Principles).
- Monitor regulatory changes and implement new requirements leveraging internally built technology tools as well as vendor tools.
- The individual should possess experience in driving process improvements and system enhancements for reporting efficiency and control.
- Flexibility to work on ad-hoc projects as needed/requested while collaborating with Treasury, Operations, and Compliance partners to ensure timely and accurate financial data. Support Controllership and business project initiatives.
- Complete requests from and communicate with external auditors and examiners/regulators.
Required Qualifications
- Bachelor's degree in accounting, Finance, or related field
- 5+ years of relevant accounting experience
- 3+ years of experience working in a broker-dealer environment, financial services or in financial/regulatory reporting.
- Proven ability to lead through change and implement identified process improvements
- Strong proficiency in Microsoft Excel and other applications with MS Office suite
- Strong attention to detail and ability to problem solve.
- Strong verbal and written communication skill
Preferred Qualifications
- CPA license or on track to obtain
- Series 27 or Series 99 license
- Familiarity with SEC and FINRA regulatory rules and frameworks
- Experience with financial regulatory platforms and systems (e.g., Workday, Workiva BetaNXT, or other ERP systems)
- Experience with XBRL implementation or other regulatory transformation efforts
About Our Company
We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 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 $85,700-$115,700/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.
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