Senior Director, Wealth Management Compliance & Governance

Ameriprise Financial Services, LLC; Minneapolis (MN); Hybride; USD 169 000 - 225 000; Plein temps

Résumé du poste

Ameriprise Financial Services, LLC in Minneapolis, MN, seeks a Senior Director, Business Unit Compliance Liaison to lead the centralized risk team for Wealth Management Solutions with focus on regulatory reporting, controls, and policy oversight.

The role oversees governance routines, risk programs, audits, and collaboration with Legal, Compliance and Internal Audit. In-office four days per week with one day remote, base pay ranges from $168,800 to $225,000 per year.

Qualifications

• Bachelor’s degree or equivalent experience.
• 10+ years of financial services experience with a focus on risk management, controls, and broker-dealer operations.
• Active FINRA Series 7 and Series 24 licenses.
• Strong knowledge of broker-dealer regulations and regulatory reporting frameworks.

Responsabilités

• Provide direct oversight of governance, risk, and control functions to mitigate operational, financial, regulatory, and compliance risk.
• Oversee regulatory reporting, control functions, reporting dashboards, general ledger reconciliations, and related reporting processes.
• Lead governance routines and committee coordination across product, business review, risk, conflicts, and Regulation Best Interest governance forums.
• Own and coordinate risk program meetings, regulatory budget management, requests and approvals, Risk Event management, and annual risk assessments.
• Oversee policy, procedure, supervisory control governance, including Regulation Best Interest disclosure procedures and books and records coordination.
• Coordinate internal and external audit activities, regulatory requests, vendor risk oversight, licensing tracking and reporting.
• Act as primary liaison with business partners, Internal Audit, Compliance, Legal, and regulators.
• Identify control gaps, assess risk exposure, and implement remediation strategies.

Connaissances

Regulatory reporting

Risk management

Leadership

Communication

Stakeholder mgmt

Independent work

Formation

Bachelor’s degree

Description du poste

Ameriprise Financial Services, LLC in Minneapolis, MN, seeks a Senior Director, Business Unit Compliance Liaison to lead the centralized risk team for Wealth Management Solutions with focus on regulatory reporting, controls, and policy oversight.

The role oversees governance routines, risk programs, audits, and collaboration with Legal, Compliance and Internal Audit. In-office four days per week with one day remote, base pay ranges from $168,800 to $225,000 per year.