Manager, Wealth Management Solutions Risk Compliance Liaison

Ameriprise Financial Services, LLC; Minneapolis (MN); On-site; USD 82,000 - 112,000; Full time

Job summary

Ameriprise Financial Services, LLC is seeking a Manager, Business Unit Risk Compliance Liaison to bolster proactive risk management and support a robust compliance program for Advisory products. You will provide guidance and recommendations to enhance processes, policies and procedures.

You will lead audits, collaborate with senior leaders, and ensure adherence to applicable laws and regulations across advisory services and business partners.

Qualifications

• 5+ years' experience in Financial Services industry, preferably in a compliance, supervision, or product management or support function
• Active Series 7
• Active Series 24 or the ability to obtain in 120 days

Responsibilities

• Review moderate-complexity issues, gather/research and track related information, and make recommendations, as appropriate.
• Work with business partners and senior leaders to implement business policies and/or procedures.
• Conduct proactive outreach to field members related to policies and procedures for Advisory products.
• Lead assigned audits of internal business processes from start to finish, including conducting the audit, escalating any identified defects, and documenting audit outcomes for senior leaders.
• Understand applicable laws and regulations, analyze their effect on business practices, and work with the General Counsel Office Compliance Department and Operational Risk areas as needed to clarify requirements and address related issues.
• Serve as a resource on assigned subjects, provide support to assigned business lines, act as a key resource and "go to" person for business partners, and influence appropriate business partners and leaders with respect to key business initiatives. Spot trends and influence change.
• Work with and support the GCO during regulatory exams and inquiries. Establish/lead the response team and present results to senior leaders. Participate in Operational Risk activities, as requested.

Skills

Financial services experience

Series 7

Series 24

Regulatory compliance

Audit management

Microsoft Office

Tools

Microsoft Word

Microsoft Excel

Job description

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 year-end 2024. Our team of 22,000 people across 19 countries, serves 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.

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 year-end 2024. Our team of 22,000 people across 19 countries, serves 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.

Job Description

The Wealth Management Solutions business group is hiring a Manager, Business Unit Risk Compliance Liaison to work with the advisory team. In this role, you will strengthen the business group's proactive risk management and support a robust compliance and supervisory program for Advisory products. Additionally, you will provide compliance guidance along with recommendations to enhance processes, policies, and procedures

Key Responsibilities

• Review moderate-complexity issues, gather/research and track related information, and make recommendations, as appropriate.


• Work with business partners and senior leaders to implement business policies and/or procedures.


• Conduct proactive outreach to field members related to policies and procedures for Advisory products.


• Lead assigned audits of internal business processes from start to finish, including conducting the audit, escalating any identified defects, and documenting audit outcomes for senior leaders.


• Understand applicable laws and regulations, analyze their effect on business practices, and work with the General Counsel Office Compliance Department and Operational Risk areas as needed to clarify requirements and address related issues.


• Serve as a resource on assigned subjects, provide support to assigned business lines, act as a key resource and "go to" person for business partners, and influence appropriate business partners and leaders with respect to key business initiatives. Spot trends and influence change.


• Work with and support the GCO during regulatory exams and inquiries. Establish/lead the response team and present results to senior leaders. Participate in Operational Risk activities, as requested.

Required Qualifications

• 5+ years' experience in Financial Services industry, preferably in a compliance, supervision, or product management or support function


• Active Series 7


• Active Series 24 or the ability to obtain in 120 days

Preferred Qualifications

• Knowledge of Ameriprise products/services or the ability to quickly learn


• Demonstrated experience in leading small- to medium-scale projects to successful completion


• Demonstrated capability in standard Microsoft Office applications: Word and Excel


• Self-starter with excellent attention to detail, organizational and time management skills


• Ability to maintain a high degree of confidentiality


• Ability to influence and collaborate across teams and at all levels to drive results


• Excellent analytical and problem-solving skills


• Experience working with technology resources and project testing


• Ameriprise Advisory Solutions (Managed Accounts) platform knowledge


• Experience maintaining and completing processes, audits, procedures and disclosures


• Experience collaborating cross-organizational Ameriprise teams and working with various Ameriprise systems


• Proven experience "connecting the dots" between complex, and not always obvious, concepts


• Experience with Microsoft Office applications: Access and PowerPoint


• Visa Sponsorship

Visa Sponsorship

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

In-Office Collaboration

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Base Pay Salary

The estimated base salary for this role is $81,700 - $112,300 / 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.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Legal Affairs

Line of Business

FPPS Wealth Management Solutions

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.