Director of Audit

About Our Company We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 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 River Source Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Job Description Ameriprise Financial is looking to add a Director of Audit to the team! The individual in this role will plan and oversee multiple Risk and Control Services activities concurrently covering multiple businesses, functions, subsidiaries, and geographies. Be responsible for using a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes. Supervise activities to ensure consistency, quality, and compliance with department policies.

Key Responsibilities Responsible for planning/overseeing multiple Risk and Control Services activities concurrently using a disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes. Provide thought leadership and guidance upward, downward, and to business partners. Supervise Risk and Control Services plan and the quality of activities and projects executed, on time, and within budget. Maintain detailed understanding of plan status for SOX/MAR/FDICIA and audit engagements.

Provide input into the annual planning process.

Proactively coordinate across Risk and Control Services to ensure delivery of audit plan. Gather materials for input into Executive, Board, and Governance forums, as necessary. Understand the business to efficiently and effectively resolve complex issues and to perform complex risk assessments.

Present findings and recommendations to business leaders to gain concurrence and achieve timely corrective action. Serve as a key interface with Vice President level business leadership. Create recommendations for changes to the overall Risk and Control Services plan, processes, and methodologies. Perform ongoing review and adjustments of the plan to ensure activities are focused.

Lead/develop a team to effectively deploy resources to meet organizational needs. Arrange formal training or other experiences to foster learning and development. Develop goals and cascade goals to ensure alignment with the overall strategy. Perform ongoing capacity analysis to ensure resources are fully utilized. Provide action-oriented feedback and hold others accountable.

Coordinate with appropriate control groups in planning and executing assigned work. Ensure work is completed within established timelines. Proactively communicate/escalate challenges and roadblocks that impact ability to meet established timelines.

Required Qualifications Bachelor's degree or equivalent7+ years of experience

Experience with leading and overseeing multiple concurrent projects

Industry experience in public accounting, internal audit, technology, or related financial services field

Broadly recognized for knowledge/understanding across multiple business lines and/or for demonstrated expertise in a critical subject matter area. Master-level project leadership skills

Ability to transfer knowledge and assist others to achieve proficiency in audit skills and business knowledge

Preferred Qualifications Degree in Accounting, Finance or a related field

Advanced degree or professional certification (CIA, CISA, CPA, CFSA)
Financial Services experience

Public Company Experience Broker-Dealer experience

Series 7

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