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Ameriprise Financial Senior Director, HR Compliance and Risk in Minneapolis, Minnesota


Job Description:

Ameriprise Financial is seeking a Senior Director to oversee the global HR Compliance & Risk function and ensure a coordinated risk framework globally. The Senior Director will partner with senior HR leadership to embed HR Compliance and Operational Risk Management (ORM) governance, ensuring adherence to relevant regional employment laws and regulations through the end-to-end strategic development and implementation of HR compliance and risk management programs, policies, training, and communications. You will play an integral part in ensuring a strong risk and control environment by leading the Global HR organization in the proactive identification of risk, continuous control improvement, and issue mitigation through operations controls.



Job ID:


Full-Time / Part-Time:

Full time

About Our Company:

At Ameriprise Financial, we’re not just in the business of helping clients with their financial goals – we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you’re motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.

Preferred Qualifications:

  • Master's degree

  • Expertise in equal employment opportunity, federal contract compliance/Affirmative Action, immigration regulations, fair employment practices, SMCR, Sarbanes Oxley, Operational Risk Management, Financial Conduct Authority, and General Data Protection Regulation

  • Ability to lead compliance and monitoring initiatives related to Sarbanes-Oxley and Operational Risk Management.

  • Series 7 Registration or ability to obtain within 120 days

  • Knowledge of regional employee/labor laws

  • Excellent people leadership skills and experience leading others.

  • Experience with internal and regulatory audit procedures.

Line of Business:

Human Resources

Posting Title:

Senior Director, HR Compliance and Risk


  • Provide enterprise-wide risk mitigation, oversight and compliance, setting and developing strategies and objectives that drive identification, quantification and mitigation of risk within HR, while providing acute depth of knowledge and influence.

  • Ensure linkages to successfully achieve metrics, close gaps and meet goals. Mitigate risk of fines, penalties, and other compliance mandates through proactive analyses and audit readiness activities, control testing and training to identify potential risk related to labor laws, employment contracts, equal opportunity/inclusivity, employment eligibility, and other requirements for the jurisdictions in which we operate. Handle communication and serve as point of contact for external regulators.

  • Provide oversight to HR ORM governance process, acting as a central resource for key HR leaders, COE partners and ORM Liaisons. Ensure effective controls are in place across HR to proactively manage risk and remain compliant with company policies/procedures, including improving controls, resolving Risk Events (REVs), and escalating risks as needed. Own communications and trainings related to risk mitigation to drive awareness across the HR department. Coordinate audits across HR. Ensure Financial Conduct Authority (FCA) compliance with Senior Managers and Certification Regime (SMCR).

  • Use analytics and data to develop trends and highlight areas of concern to senior HR leadership. Coordinate the preparation for critical business and leadership meetings, leading the delivery of monthly status reporting. Influence outcomes and drive completion of required follow-up activities.

  • Provide subject matter expertise, program oversight and leadership to team members who deliver the products, services, and analytics through consistent coaching, training, advising, monitoring/auditing and feedback.

  • Lead and/or represent HR Risk and/or HR Compliance function on broader HR and enterprise-wide initiatives as assigned. Monitor the regulatory environment by keeping up to date with industry publications and trends, best practices, and potential issues. Lead efforts to create process changes based on new regulations, compliance gaps and business needs.

Recruiting Location:

Minneapolis, Minnesota

Required Qualifications:

  • Bachelor's degree or equivalent

  • 10+ Years of demonstrable experience

  • Experience in risk management or oversight of operational processes or audit experience, exercising deep content knowledge in these areas.

  • Detailed understanding of current techniques in operational risk management, controls and operational soundness.

  • Risk management and mitigation mentality, ability collaborate with internal and external auditors and regulators.

  • Excellent oral and written communication skills with ability to explain conceptual data, making it relevant to individuals and strategic objectives.

  • Ability to build and maintain strong relationships, collaborating with all levels of the organization, including senior executives.

  • Resiliency and ability to overcome resistance.

  • Quantitative analysis skills and attention to detail.

Job Family Group:

Human Capital