Manager, Wealth Management Solutions Risk Compliance Liaison

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.

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.

The 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

• 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.

• 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

• 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…