Job DescriptionThe Wealth Management Solutions business group is hiring a Manager, Business Unit Risk Compliance Liaison to work with the advisory team. In this role, you will strengthen the business group's proactive risk management and support a robust compliance and supervisory program for Advisory products. Additionally, you will provide compliance guidance along with recommendations to enhance processes, policies, and procedures
Key Responsibilities- Review moderate-complexity issues, gather/research and track related information, and make recommendations, as appropriate.
- Work with business partners and senior leaders to implement business policies and/or procedures.
- Conduct proactive outreach to field members related to policies and procedures for Advisory products.
- Lead assigned audits of internal business processes from start to finish, including conducting the audit, escalating any identified defects, and documenting audit outcomes for senior leaders.
- Understand applicable laws and regulations, analyze their effect on business practices, and work with the General Counsel Office Compliance Department and Operational Risk areas as needed to clarify requirements and address related issues.
- Serve as a resource on assigned subjects, provide support to assigned business lines, act as a key resource and "go to" person for business partners, and influence appropriate business partners and leaders with respect to key business initiatives. Spot trends and influence change.
- Work with and support the GCO during regulatory exams and inquiries. Establish/lead the response team and present results to senior leaders. Participate in Operational Risk activities, as requested.
Required Qualifications- Bachelor's degree or equivalent experience
- 5+ years' experience in Financial Services industry, preferably in a compliance, supervision, or product management or support function
- Active Series 7
- Active Series 24 or the ability to obtain in 120 days
Preferred Qualifications- Knowledge of Ameriprise products/services or the ability to quickly learn
- Demonstrated experience in leading small- to medium-scale projects to successful completion
- Demonstrated capability in standard Microsoft Office applications: Word and Excel
- Self-starter with excellent attention to detail, organizational and time management skills
- Ability to maintain a high degree of confidentiality
- Ability to influence and collaborate across teams and at all levels to drive results
- Excellent analytical and problem-solving skills
- Experience working with technology resources and project testing
- Ameriprise Advisory Solutions (Managed Accounts) platform knowledge
- Experience maintaining and completing processes, audits, procedures and disclosures
- Experience collaborating cross-organizational Ameriprise teams and working with various Ameriprise systems
- Proven experience "connecting the dots" between complex, and not always obvious, concepts
- Experience with Microsoft Office applications: Access and PowerPoint
Visa SponsorshipApplicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
In-Office CollaborationWe are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders - clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
Base Pay SalaryThe estimated base salary for this role is $81,700 - $112,300 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.
Full-Time/Part-TimeFull time
Exempt/Non-ExemptExempt
Job Family GroupLegal Affairs
Line of Business FPPS Wealth Management Solutions
