Senior Audit Manager

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

Job summary

Ameriprise Financial in Minneapolis is seeking a Senior Audit Manager to plan and execute complex risk and control audits, including SOX/MAR/FDICIA compliance, across multiple lines of business. The role involves supervising projects, identifying deficiencies, and communicating findings to senior management.

You will oversee scopes, schedules, and deliverables while driving governance improvements. The ideal candidate has a Bachelor’s degree and 5+ years of audit experience, with certifications

Qualifications

• Bachelor's degree required.
• 5+ years of audit experience.
• Experience leading multiple audits or projects.
• Knowledge across multiple lines of business and critical subject matter areas.
• Certifications CIA, CISA, CPA or CFSA preferred.

Responsibilities

• Plan and execute complex portions of the Risk & Control Services plan including audit activities.
• Lead SOX/MAR/FDICIA compliance activities and present results to management.
• Identify control deficiencies, assess exposure, and propose cost-effective recommendations.
• Monitor and validate Management Action Plans and coordinate with control groups.

Skills

Audit leadership

Project management

Risk assessment

Cross-functional coordination

Regulatory knowledge

Education

Bachelor's degree

CIA

CISA

CPA

CFSA

Job description

About Our CompanyWe’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 DescriptionAmeriprise 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 and 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 ResponsibilitiesPlan 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 and Control Services plan to focus efforts on risk areas and provide value to stakeholders. Recommend changes to Risk and Control Services processes and methodologies, as appropriate.Required QualificationsBachelors degree5+ years of experienceExperience with leading multiple projectsExpanded knowledge/understanding across multiple lines of business and/or develop knowledge/understanding in critical subject matter areaAbility to transfer knowledge and assist others to expand audit skills and business knowledgeAbility to coordinate with appropriate control groups in planning and executing assigned workSolid knowledge and proper application of control and audit theoryPreferred QualificationsFinance or Accounting degreeCertifications in CIA, CISA, CPA, CFSAFinancial Services experienceIn-Office CollaborationWe 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 SponsorshipApplicants 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 SalaryThe 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.Full-Time/Part-TimeFull timeExempt/Non-ExemptExemptJob Family GroupFinanceLine of BusinessFIN FinanceAmeriprise 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.