In this role, you will provide analysis and support of Risk Management initiatives, with a focus on trading business controls. This involves working with multiple systems used to calculate risk measures, identifying, researching and resolving various data issues for accurate reporting and analysis.

You will also support day-to-day risk oversight for assigned business deliverables, project support, change management support and lead process reviews identifying risk and developing solutions while maintaining regulatory and supervisory controls. Lead and assist with ongoing regulatory inquiries or audits in a timely and accurate manner.

Key Responsibilities

Manage, prioritize and perform trade reporting, exception report processing and reconciliation for trading business controls in accordance with regulatory and company requirements for all security types (I.E. Fixed income, Equity and Options), Utilizing knowledge of the systems, implement other solutions to resolve data issues.  

Interpret regulatory and industry changes. Assess impact to staff, processes, policies and technologies. Influence leaders and decision makers to take appropriate action. Effectively communicate to business units and peers' appropriate direction and update policies and procedures.

Proactively identify opportunities and recommend solutions to mitigate current and future business risk.

Direct and guide initiatives by validating applicable SEC or FINRA rules to business processes and enhancing processes or documentation as necessary. 

Assist with operational and regulatory audits or inquiries in a timely and accurate manner.

Required Qualifications

Experience: 3-5 years of relevant experience

Bachelor's degree or equivalent (4-years)

Post-secondary education and relevant work experience may be interchanged to meet the combined total years of minimum required qualifications for education and experience

Capital markets trading, securities, finance, accounting or insurance/risk management experience, preferably in a corporate environment

Data analytics skills, including proficiency in Microsoft Office and/or a Risk Management Information System

Preferred Qualifications

Understanding of the securities trading markets and regulatory trading regulations

FINRA Series 7 exam or Securities Information Essentials (SIE) exam

Strong internal and external relationship management skills

Excellent analytical capabilities and interpersonal skills

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 $76,300 - $104,900 / 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