Wealth Management Risk & Compliance Leader

Ameriprise Financial Services, LLC; Minneapolis (MN); On-site; USD 93,400 - 128,400; Full time

Job summary

Ameriprise Financial Services, LLC, a diversified financial services leader, seeks a risk-management professional to support Wealth Management Solutions. You will partner with risk, Compliance, Legal, and Internal Audit to identify, assess, monitor, and mitigate risk across the business in Minneapolis, MN and Charlotte, NC.

Key responsibilities include governance routines, regulatory reporting, control documentation, and coordinating audit activities.

Qualifications

• 5+ years of financial services, risk management, controls, compliance, audit, broker-dealer operations, or related experience
• Bachelor’s degree or equivalent experience
• Active FINRA Series 7 and Series 24 licenses, or ability to obtain within an established timeframe
• Demonstrated ability to influence and partner across all levels of leadership
• Experience leading initiatives, driving outcomes, and managing competing priorities
• Strong analytical, organizational, and time management skills
• Ability to drive results and meet deadlines to reduce risks
• Strong written and verbal communication skills
• Must be able to work independently

Responsibilities

• Support governance, risk, and control routines to help ensure controls are designed, documented, and operating effectively to mitigate operational, financial, regulatory, and compliance risk
• Prepare and maintain regulatory reporting, control documentation, reporting dashboards, general ledger reconciliations, and related reporting processes
• Coordinate governance routines and committee materials, including product, business review, risk, conflicts, and Regulation Best Interest governance forums
• Support key governance processes, including risk program meetings, regulatory budget requests and approvals, Risk Event management, process inventory, Risk and Control Self-Assessment activities, testing coordination, and annual risk assessments
• Maintain policy, procedure, and supervisory control governance routines, including written supervisory procedures, Regulation Best Interest disclosure procedures, books and records coordination, revenue sharing procedures, outside business activity tracking, business continuity planning, and self-monitoring routines
• Coordinate internal and external audit requests, regulatory affairs responses, vendor risk activities, licensing tracking and reporting, senior leader and process owner certifications, and contract repository governance
• Partner with business stakeholders, Internal Audit, Compliance, Legal, and other risk partners to support issue resolution and risk-informed decision making
• Identify control gaps and process improvement opportunities, assess potential risk exposure, and help implement practical remediation plans
• Promote continuous improvement and a strong risk awareness culture across Wealth Management Solutions

Skills

Financial Services

Risk Management

Audit & Compliance

Leadership Influence

Time Management

Education

Bachelor’s degree or equivalent experience

Tools

FINRA Series 7/24 licenses

Job description

Ameriprise Financial Services, LLC, a diversified financial services leader, seeks a risk-management professional to support Wealth Management Solutions. You will partner with risk, Compliance, Legal, and Internal Audit to identify, assess, monitor, and mitigate risk across the business in Minneapolis, MN and Charlotte, NC.

Key responsibilities include governance routines, regulatory reporting, control documentation, and coordinating audit activities.