Dir, Risk Management - Ameriprise Services and Operations

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.), are incorporated into corporate testing framework, and support all external and internal Audits. Additionally, this role will be responsible for the governance framework of the Premiere Retirement Income Committee as well as Ameriprise Financial Institutions Group (AFIG) Evaluation Committee.

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. There is a specific focus on independent audits and reporting with Pricewaterhouse Coopers.
• Manage the facilitator responsibilities of the APRI and AFIG Evaluation Committees. This includes agenda management, meeting facilitation, meeting minutes, vote management, charter management, books and records, etc.
• Manage threat monitoring solutions to flag potential internal fraud.
• Ensure Business Unit compliance with Model Risk Management (MRM) requirements.
• Provide leadership, performance management and improvement feedback, coaching, mentoring and development of employee direct reports.

Required Qualifications

• Bachelor's degree or equivalent.
• 10+ years of relevant experience.
• Strong relationship and communication skills.
• Ability to influence and collaborate across business lines to achieve results.
• Experience with third party audits and reporting.
• Experience with enterprise risk management programs (e.g., change management, issue management, models).

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
• Experience running Management Committees of a broker-dealer or investment advisor.
• FINRA Series 7 and 24.
• Prior experience leading a team.

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.

The estimated base salary for this role is $128,400 - $147,700 / 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.

Full time

Exempt

Business Support & Operations

CLEAR Clearing