Job Information
Ameriprise Financial Senior Region Risk Manager in Minneapolis, Minnesota
The Sr. Region Risk Manager will provide ongoing, risk-based leadership and oversight that reduces regulatory risk in the region. Operate in a hybrid supervision model under the direction of the VP AAC Sales. Train new AAC Sales Leaders and support existing Sales Leaders and assess their ongoing supervisory performance and development. Partner with the corporate office to advise on escalated issues. Educate advisors, staff (AAC), and Sales Leaders on regulatory and supervision policies. Educate, advise, and guide the AAC Leadership Team on supervisory trends and actions to mitigate risk.
Key Responsibilities
Provide oversight through regular, effective, ongoing meetings, and positively influence the direction of supervision.
Confirm and document that regulatory issues are identified and appropriate action is taken.
Educate, advise, and guide AAC Sales Leaders on emerging trends, areas of supervisory strength or risk, and actions to mitigate risk.
Engage corporate office partners to address risk. Develop effective oversight systems and processes to prioritize and address areas of highest risk. Lead implementation and drive uptake of new supervisory policies, tools, and systems.
Train new and existing AAC Sales Leaders and assess, address, and document their readiness to perform the RP responsibilities of ongoing, risk-based supervision.
Work closely with Risk Mitigation and Compliance staff, utilize ongoing diagnostics to determine where supervisory risk exists, and develop a plan to close related issues, while reporting back to the VP AAC Sales.
Act as Strategic Business Partner to AAC Sales Leaders. Partner with VP AAC Sales and AAC Sales Directors to implement a PMP process for RPs who are not meeting minimum expectations of the RP role, as necessary or appropriate. Prepare and present analysis of risk trends in the region for the semi-annual business line reviews.
Required Qualifications
Bachelors degree or equivalent (4-years)
7+ years relevant experience
FINRA Series 7 and Series 24
Strong knowledge of financial services industry products, services, and financial planning.
Working knowledge of Broker/Dealer regulatory issues, Ameriprise's hybrid model, supervisory policies, procedures, and systems.
Effective personal presence and the ability to influence through training and personal interactions.
Demonstrated effective analytical, diagnostic, investigative, and problem solving skills.
Strong oral and written communication skills, demonstrated conflict management and collaborative skills, and ability to lead.
Ability to travel 25% depending on business needs, number of RPs, and need for on-site oversight.
Preferred Qualifications
Demonstrated ability to use technology and tools (e.g. Microsoft Teams) to gain efficiencies and speed.
Self-motivated with the ability to achieve results in an independent environment, aptitude, and comfort with technology.
Ability to manage multiple tasks.
About Our Company
We’re a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.
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.
Full-Time/Part-Time
Full time
Exempt/Non-Exempt
Exempt
Job Family Group
Legal Affairs
Line of Business
AWMBD Advice and Wealth Mgmt and Business Development