Supports 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. Support Risk Events to ensure appropriate root cause is identified, issues are resolved timely and appropriate controls/mitigation are put in place. Serve as escalation point of contact/ risk liaison to ensure appropriate information exchange and to drive forward risk reducing recommendations, testing and actions through resolution. Lead and assist with ongoing regulatory inquiries or audits in a timely and accurate manner.

Key Responsibilities

Support alignment and issue resolution by assisting in the coordination of risk-related activities including escalated issues. Contribute to the identification and reduction of risk through system and process validation.Assist in regulatory and supervisory control efforts by collaborating with internal teams such as Compliance, Legal, and Product, to support the implementation and documentation of controls. Help interpret and apply relevant SEC and FINRA rules to business processes under the guidance of senior risk leaders.Facilitate alignment conversations, resolve escalated issues and act as a point of contact for business and senior leaders for assigned business lines. Provide expertise to other areas for enhancement and implementation, inclusive of Self –Monitoring plans, PCCs and other risk management functions.Enhance risk reporting through new ideas gathered from research, best practices and knowledge.Support audits and reviews by preparing documentation and assisting in the coordination of operational and regulatory audits (e.g., FINRA, NASD/SEC, Sarbanes-Oxley).

Required Qualifications

Education: Bachelor's degree or equivalent, relevant work experience (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.Progressive finance, accounting or insurance/risk management experience, preferably in a corporate environment.

Preferred Qualifications

Basic risk financial knowledge, including broker-dealer knowledgeFinancial/analytical reporting skills, including proficiency in Microsoft Office and/or a Risk Management Information System.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 $74,800 - $91,000 / 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