Senior Director, Wealth Management Compliance & Risk

Ameriprise Financial; Charlotte (NC); Hybrid; USD 169,000 - 225,000; Full time

Job summary

Ameriprise Financial is seeking a Senior Director, Business Unit Compliance Liaison in Charlotte (with Minneapolis option) to lead the centralized risk team for Wealth Management Solutions. You will oversee governance, risk assessment, policy oversight, and regulatory reporting while coordinating audits and regulatory requests.

The role requires 10+ years in financial services risk management, FINRA licenses, and strong leadership to drive remediation initiatives and engage stakeholders across

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.
• Ability to influence and collaborate across business lines and external stakeholders.
• Prior team leadership experience.

Responsibilities

• Provide direct oversight of governance, risk, and control functions to mitigate regulatory and compliance risk.
• Oversee regulatory reporting, control functions, dashboards, GL reconciliations, and related processes.
• Lead governance routines and committee coordination for risk and regulatory forums.
• Coordinate internal/external audits, regulatory inquiries, vendor risk, licensing, and certifications.
• Partner with senior leaders and Enterprise functions to support governance and risk objectives.

Skills

Risk management

Regulatory reporting

Governance & controls

Leadership

Collaboration

Communication

Project management

Analytical thinking

Relationship building

Education

Bachelor's degree

Tools

Regulatory reporting tools

Job description

Ameriprise Financial is seeking a Senior Director, Business Unit Compliance Liaison in Charlotte (with Minneapolis option) to lead the centralized risk team for Wealth Management Solutions. You will oversee governance, risk assessment, policy oversight, and regulatory reporting while coordinating audits and regulatory requests.

The role requires 10+ years in financial services risk management, FINRA licenses, and strong leadership to drive remediation initiatives and engage stakeholders across