Senior Director, Wealth Management Risk & Compliance

Ameriprise Financial Services, LLC; Minneapolis (MN); On-site; USD 150,000 - 206,300; Full time

Benefits offered by this job

Vacation time

Sick time

401(k)

Health insurance

Dental insurance

Life insurance

Bonus

Commissions

Long-term incentives

Job summary

Ameriprise Financial Services, LLC is seeking a Senior Director, Business Unit Compliance Liaison to lead the centralized risk team for Wealth Management Solutions. The role focuses on regulatory reporting, controls, committee governance, risk program coordination, policy oversight, and risk routines in Minneapolis and Charlotte.

The candidate will oversee governance processes, risk management, audit activities, licensing, and vendor risk.

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.
• 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.

Responsibilities

• Provide direct oversight of governance, risk, and control functions to ensure controls are designed and operating effectively 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, including product, business review, risk, conflicts, and Regulation Best Interest governance forums.
• Own and coordinate key governance processes, including risk program meetings, regulatory budget management, requests and approvals, Risk Event management, process inventory, Risk and Control Self-Assessment oversight, testing coordination, and annual risk assessments.
• Oversee policy, procedure, and supervisory control governance, including written supervisory procedures, Regulation Best Interest disclosure procedures, books and records coordination, revenue sharing procedures, communications with the public, outside business activity tracking, business continuity planning, and self-monitoring routines.
• Coordinate internal and external audit activities, regulatory affairs requests, vendor risk oversight, licensing tracking and reporting, senior leader and process owner certifications, and contract repository governance.
• Act as a primary liaison with business partners, Internal Audit, Compliance, Legal, and regulators, including participation in industry advocacy efforts.
• Identify control gaps and deficiencies, assess risk exposure and materiality, and implement cost-effective remediation strategies.
• Build strong partnerships with senior leaders across Wealth Management Solutions and enterprise business partners to support governance, risk, regulatory, and operational objectives.
• Promote continuous improvement and a strong risk awareness culture across Wealth Management Solutions.
• Lead and develop a team of risk professionals, including performance management, coaching, mentoring, and career development.
• Foster a culture of accountability, risk awareness, and continuous improvement.

Skills

Regulatory reporting

Risk management

Governance

Team leadership

Stakeholder collaboration

Education

Bachelor’s degree or equivalent experience

Job description

Ameriprise Financial Services, LLC is seeking a Senior Director, Business Unit Compliance Liaison to lead the centralized risk team for Wealth Management Solutions. The role focuses on regulatory reporting, controls, committee governance, risk program coordination, policy oversight, and risk routines in Minneapolis and Charlotte.

The candidate will oversee governance processes, risk management, audit activities, licensing, and vendor risk.