Senior Director, Wealth Management Compliance Liaison

RiverSource Life Insurance Company; Minnesota; On-site; USD 169,000 - 225,000; Full time

Job summary

RiverSource Life Insurance Company is seeking a Senior Director, Business Unit Compliance Liaison to lead the centralized risk team for Wealth Management Solutions. You will focus on regulatory reporting, controls, governance, risk programs, policy oversight, and risk routines.

The role requires 10+ years in financial services risk management, FINRA licenses, and strong collaboration with Legal, Compliance, Internal Audit, and regulators.

Qualifications

• Bachelor’s degree or equivalent experience.
• 10+ years of financial services experience focusing 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.
• Experience leading risk, governance, audit, supervisory control, policy, licensing, vendor risk, and related oversight routines.
• Proven ability to influence and collaborate across business lines and external stakeholders.
• Prior team leadership experience.
• Strong relationship-building, communication, analytical, organizational, and time management skills.
• Ability to drive results and meet deadlines to reduce risks.

Responsibilities

• Provide direct oversight of governance, risk, and control functions to mitigate operational, financial, regulatory, and compliance risk.
• Oversee regulatory reporting, control functions, reporting dashboards, GL reconciliations, and related processes.
• Lead governance routines and committee coordination across product, risk, and regulatory forums.
• Own and coordinate risk program meetings, regulatory budget, risk events, and risk assessments.
• Oversee policy, procedure, supervisory controls, and disclosure procedures.
• Coordinate internal and external audits, licensing tracking, vendor risk oversight, and contract governance.
• Act as a liaison with business partners, Internal Audit, Compliance, Legal, and regulators.
• Identify control gaps, assess risk, and implement remediation strategies.
• Build partnerships with senior leaders to support governance, risk, regulatory, and operations.

Skills

Risk management

Regulatory reporting

Compliance

Broker-dealer operations

Leadership

Communication

FINRA Series 7

FINRA Series 24

Cross-functional collaboration

Education

Bachelor’s degree or equivalent experience

Job description

RiverSource Life Insurance Company is seeking a Senior Director, Business Unit Compliance Liaison to lead the centralized risk team for Wealth Management Solutions. You will focus on regulatory reporting, controls, governance, risk programs, policy oversight, and risk routines.

The role requires 10+ years in financial services risk management, FINRA licenses, and strong collaboration with Legal, Compliance, Internal Audit, and regulators.