Senior Audit Manager

Ameriprise Financial Services, LLC; Minneapolis (MN); Hybrid; USD 122,000 - 168,000; Full time

Benefits offered by this job

Vacation time

Sick time

401(k)

Health insurance

Job summary

Ameriprise Financial Services, LLC is hiring a Senior Audit Manager to plan and execute complex Risk & Control Services work, including SOX/MAR/FDICIA compliance. You will supervise projects, evaluate risk, and present results to management to enhance governance and controls.

In-office collaboration is emphasized with some flexible work options. The role requires a Bachelor’s degree, 5+ years of audit experience, and the ability to lead multiple projects across business lines.

Qualifications

• Bachelor's degree in finance or accounting.
• 5+ years of audit experience.
• Experience leading multiple projects.
• Ability to coordinate with appropriate control groups.
• Strong knowledge of audit theory.

Responsibilities

• Plan and execute parts of the Risk & Control Services plan.
• Lead audits and compliance activities (SOX/MAR/FDICIA).
• Identify control deficiencies and recommend remediations.
• Supervise projects and manage scope and timelines.
• Communicate findings to management and stakeholders.

Skills

Leadership

Project management

Risk management

Communication

Auditing principles

Education

Bachelor's degree

Finance or Accounting degree

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.

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

Ameriprise Financial is looking to add a Senior Audit Manager to the team! The individual in this role will plan and execute complex portions of the Risk & Control Services plan, including concurrent audit and SOX/MAR/FDICIA compliance activities and presenting objectives and results to various levels of management. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control, and governance processes. May act as a project lead on audits or other Risk & Control Services activities. Supervise and lead projects, while providing leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of work.

Key Responsibilities

• Plan and execute complex portions of the Risk & Control Services plan
  including audit activities and SOX/MAR/FDICIA compliance activities.
  Present work objectives and results to various levels of management that focus on the impact of control deficiencies.
  Execute on a structured approach to evaluate and improve the effectiveness of risk management, control, and governance processes.
• Identify control deficiencies, assess exposure and significance, and propose cost effective recommendations.
  Monitor and validate Management Action Plan status.
  Recommend closure of Management Action Plans when actions are complete and identified deficiency has been addressed.
• Supervise and lead assigned projects.
  Provide leadership to peers and others as needed in the work assigned.
  Manage the scope, schedule, and deliverables of assigned work.
• Proactively communicate/escalate challenges and roadblocks that impact ability to meet established timelines.
  Coordinate with the appropriate control groups in planning and executing assigned work.
  Ensure work is completed within established timelines.
• Complete risk assessments in conformance with department standards, generally in complex areas.
  Recommend changes to Risk & Control Services plan to focus efforts on risk areas and provide value to stakeholders.
  Recommend changes to Risk & Control Services processes and methodologies, as appropriate.

Required Qualifications

• Bachelors degree
• 5+ years of experience
• Experience with leading multiple projects
• Expanded knowledge/understanding across multiple lines of business and/or develop knowledge/understanding in critical subject matter area
• Ability to transfer knowledge and assist others to expand audit skills and business knowledge
• Ability to coordinate with appropriate control groups in planning and executing assigned work
• Solid knowledge and proper application of control and audit theory

Preferred Qualifications

• Finance or Accounting degree
• Certifications in CIA, CISA, CPA, CFSA
• Financial Services experience
• In-Office Collaboration

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.

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).

Base Pay Salary

The estimated base salary for this role is $122,400 - $168,300/ 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.

Benefits:

• vacation time
• sick time
• 401(k)
• health, dental and life insurances

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Finance

Line of Business

FIN Finance

Equal Opportunity

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.

Inclusion and Accessibility

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.