Senior Sales Governance & Risk Leader

Ameriprise Financial

Boston (MA)

On-site

USD 120,000 - 145,000

Full time

9 days ago

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Benefits offered by this job

Health insurance

Dental insurance

Life insurance

401(k)

Vacation time

Sick time

Job summary

Columbia Threadneedle Investments in the United States seeks a Sales Governance professional to build and maintain compliant sales infrastructure. You will bridge business needs with Compliance, Legal, Risk, and Audit, guiding policies, monitoring activities, and regulatory alignment across intermediary relationships.

The role emphasizes training, supervision, and risk mitigation, with a base salary range and incentive programs.

Qualifications

Strong knowledge of the financial services industry.
Ability to develop strong business relationships in sometimes difficult circumstances.
Strong problem-solving skills with the ability to work independently, anticipate challenges, and proactively develop solutions.
Strong written and verbal communication skills that enable collaboration amongst all business lines and various levels of seniority to achieve results and reduce risk.
Ability to prepare for and present materials to senior leaders. Comfortable working in a flexible, fast-paced environment.

Responsibilities

Serve as a trusted resource for sales teams and business leaders, providing guidance on firm policies, regulatory requirements, and business procedures.
Act as the primary liaison between the business and key partners, including Compliance, Legal, Risk, and Audit, to facilitate issue resolution and support business initiatives.
Lead the resolution of ad hoc business questions and complex issues by understanding the underlying challenge, engaging appropriate stakeholders, and delivering clear guidance that enables the business to move forward.
Research, analyze, and resolve complex business issues, developing recommendations that balance business objectives, client needs, and regulatory requirements.
Partner with business leaders and key stakeholders to develop and maintain policies, procedures, and guidance that support sales activities and regulatory requirements.
Serve as the business advocate throughout the policy and procedure development process, ensuring requirements are practical, scalable, and aligned with business objectives.
Develop training and communications to promote understanding of business policies and procedures, while identifying opportunities to enhance processes, address emerging business needs, and support new business initiatives
Develop and execute monitoring and testing activities across key sales practices, including supervision, gifts and entertainment, marketing support, educational events, and other higher-risk activities.
Identify issues, process gaps, and potential risks, and implement practical solutions and process improvements.
Coordinate and support the business’s supervisory program, including monitoring activities, supervisory reviews, required documentation, and resolution of identified issues.
Own and chair the Due Diligence Oversight Forum (DDOF), overseeing the the review, approval, and oversight of intermediary relationships.
Monitor intermediary relationships and regulatory developments, identifying material risks and facilitating appropriate review, escalation, and action.
Coordinate the onboarding, licensing, and registration process for sales personnel, partnering with Compliance and other stakeholders to support timely and accurate registrations.
Monitor licensing and registration requirements through periodic reviews and reporting, identifying potential issues and facilitating resolution as needed.
Serve as the business risk liaison, partnering with business leaders and Risk to identify risks, support mitigation activities, and maintain alignment with enterprise risk requirements.